Advances in Social and Occupational Ergonomics 2020

Advances in Intelligent Systems and Computing 970
Richard H. M. Goossens
Atsuo Murata Editors
Advances in Social
and Occupational
Ergonomics
Proceedings of the AHFE 2019
International Conference on Social and
Occupational Ergonomics, July 24–28,
2019, Washington D.C., USA
Advances in Intelligent Systems and Computing
Volume 970
Series Editor
Janusz Kacprzyk, Systems Research Institute, Polish Academy of Sciences,
Warsaw, Poland
Advisory Editors
Nikhil R. Pal, Indian Statistical Institute, Kolkata, India
Rafael Bello Perez, Faculty of Mathematics, Physics and Computing,
Universidad Central de Las Villas, Santa Clara, Cuba
Emilio S. Corchado, University of Salamanca, Salamanca, Spain
Hani Hagras, School of Computer Science & Electronic Engineering,
University of Essex, Colchester, UK
László T. Kóczy, Department of Automation, Széchenyi István University,
Gyor, Hungary
Vladik Kreinovich, Department of Computer Science, University of Texas
at El Paso, El Paso, TX, USA
Chin-Teng Lin, Department of Electrical Engineering, National Chiao
Tung University, Hsinchu, Taiwan
Jie Lu, Faculty of Engineering and Information Technology,
University of Technology Sydney, Sydney, NSW, Australia
Patricia Melin, Graduate Program of Computer Science, Tijuana Institute
of Technology, Tijuana, Mexico
Nadia Nedjah, Department of Electronics Engineering, University of Rio de Janeiro,
Rio de Janeiro, Brazil
Ngoc Thanh Nguyen, Faculty of Computer Science and Management,
Wrocław University of Technology, Wrocław, Poland
Jun Wang, Department of Mechanical and Automation Engineering,
The Chinese University of Hong Kong, Shatin, Hong Kong
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Richard H. M. Goossens •
Atsuo Murata
Editors
Advances in Social
and Occupational
Ergonomics
Proceedings of the AHFE 2019 International
Conference on Social and Occupational
Ergonomics, July 24–28, 2019,
Washington D.C., USA
123
Editors
Richard H. M. Goossens Atsuo Murata
Faculty of Industrial Design Engineering Okayama University
Delft University of Technology Okayama, Japan
Delft, Zuid-Holland, The Netherlands
ISSN 2194-5357 ISSN 2194-5365 (electronic)

Advances in Intelligent Systems and Computing
ISBN 978-3-030-20144-9 ISBN 978-3-030-20145-6 (eBook)
https://doi.org/10.1007/978-3-030-20145-6
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Advances in Human Factors
and Ergonomics 2019
AHFE 2019 Series Editors

Tareq Ahram, Florida, USA
Waldemar Karwowski, Florida, USA
10th International Conference on Applied Human Factors and Ergonomics and the
Affiliated Conferences
Proceedings of the AHFE 2019 International Conference on Social and

Occupational Ergonomics, held on July 24–28, 2019, in Washington D.C., USA
Advances in Affective and Pleasurable Design Shuichi Fukuda

Advances in Neuroergonomics Hasan Ayaz
and Cognitive Engineering
Advances in Design for Inclusion Giuseppe Di Bucchianico
Advances in Ergonomics in Design Francisco Rebelo and Marcelo M. Soares
Advances in Human Error, Reliability, Resilience, Ronald L. Boring
and Performance
Advances in Human Factors and Ergonomics in Nancy J. Lightner and Jay Kalra
Healthcare and Medical Devices
Advances in Human Factors and Simulation Daniel N. Cassenti
Advances in Human Factors and Systems Isabel L. Nunes
Interaction
Advances in Human Factors in Cybersecurity Tareq Ahram and Waldemar Karwowski
Advances in Human Factors, Business Jussi Ilari Kantola and Salman Nazir
Management and Leadership
Advances in Human Factors in Robots Jessie Chen
and Unmanned Systems
Advances in Human Factors in Training, Waldemar Karwowski, Tareq Ahram
Education, and Learning Sciences and Salman Nazir
Advances in Human Factors of Transportation Neville Stanton
(continued)
v
vi Advances in Human Factors and Ergonomics 2019
(continued)
Advances in Artificial Intelligence, Software Tareq Ahram
and Systems Engineering
Advances in Human Factors in Architecture, Jerzy Charytonowicz and Christianne
Sustainable Urban Planning and Infrastructure Falcão
Advances in Physical Ergonomics and Human Ravindra S. Goonetilleke and Waldemar
Factors Karwowski
Advances in Interdisciplinary Practice in Industrial Cliff Sungsoo Shin
Design
Advances in Safety Management and Human Pedro M. Arezes
Factors
Advances in Social and Occupational Ergonomics Richard H. M. Goossens and Atsuo
Murata
Advances in Manufacturing, Production Waldemar Karwowski, Stefan
Management and Process Control Trzcielinski and Beata Mrugalska
Advances in Usability and User Experience Tareq Ahram and Christianne Falcão
Advances in Human Factors in Wearable Tareq Ahram
Technologies and Game Design
Advances in Human Factors in Communication Amic G. Ho
of Design
Advances in Additive Manufacturing, Modeling Massimo Di Nicolantonio, Emilio Rossi
Systems and 3D Prototyping and Thomas Alexander
Preface
This book provides an exploration on how ergonomics can contribute to the

solution of important societal and engineering challenges. Advances in Social and
Organizational Factors discusses the optimization of sociotechnical systems,
including their organizational structures, policies, and processes. It includes cov-
erage of communication, crew resource management, work design, design of
working times, teamwork, participatory design, community ergonomics, coopera-
tive work, new work paradigms, organizational culture, virtual organizations,
telework, and quality management.
Human factors in sports, injury prevention, and outdoor recreation aim to
address the critical cognitive and physical tasks which are performed within a
dynamic, complex, collaborative system comprising multiple humans and artifacts,
under pressurized, complex, and rapidly changing conditions that take place during
the course of any sporting event. Highly skilled, well-trained individuals walk a fine
line between task success and failure, with only marginally inadequate task exe-
cution leading to loss of the sport event or competition. This conference promotes
cross-disciplinary interaction between the human factors in sport and outdoor
recreation disciplines and provides practical guidance on a range of methods for
describing, representing, and evaluating human, team, and system performance in
sports and amusement park domains.
The book also highlights issues with special populations, detailing how to design
and adapt products and work situations for these groups. In addition to exploring
the challenges faced in optimizing sociotechnical systems, the book underlines
themes that play a role in all the challenges and how they are linked to each other. It
concludes with an exploration of emotional ergonomics and the important positive
effects of making people happy and healthy. With chapter authors from around the
globe, the book supplies a broad look at current challenges and possible solutions.
This book contains a total of ten sections, concerned with different issues in social
and occupational ergonomics (sections 1 to 9), and with cross-cultural research
(Section 10).
vii
viii Preface
Section 1 The Present and Future of Macroergonomic Systems

Section 2 Social Design, Innovation and Ergonomics
Section 3 Macroergonomic Systems Design and Improvement
Section 4 Evaluation, Optimization and Job Design
Section 5 Social and Occupational Factors of Comfort, Risk Assessment
and Pain
Section 6 Sports, Injury Prevention and Outdoor Recreation
Section 7 Stress, Mental Factors and Musculoskeletal Disorders
Section 8 Social and Occupational Ergonomics: Applications
Section 9 Safety Training and Occupational accidents
Section 10 Cross-Cultural Decision Making
The organizers would like to thank all the authors for their contributions. Each
of the chapters was either reviewed by the members of the Editorial Board or
germinated by them. For these, our sincere thanks and appreciation go to the
members of the Board listed below.
Jerzy Charytonowicz, Poland
Diana Horn, USA
S.-L. Hwang, Taiwan
Jussi Kantola, Finland
Brian Kleiner, USA
Leszek Pacholski, Poland
Michelle Robertson, USA
Susumu Saito, Japan
Mike Smith, USA
Hannu Vanharanta, Finland
Z. Wisniewski, Poland
R. Yu, China
Jeff Appleget, USA
Madalina Alama, USA
Umer Asgher, Pakistan
Erman Cakit, Turkey
Vladimira Cavojova, Slovakia
Ajay Divakaran, USA
Toshihisa Doi, Japan
Cali Fidopiastis, USA
Jim Frank, USA
Michael Hail, USA
Amy Heaton, USA
Mark Hoffman, USA
Ayaka Itoh, Japan
David King, USA
Martin Kruger, USA
Sue Numrich, USA
Noriko Okabe, Japan
Preface ix
Jonathan Pfautz, USA

Peter Picucci, USA
Elaine Raybourn, USA
Emilie Reitz, USA
Alicia Ruvinsky, USA
Lelyn Saner, USA
Dominique Scapin, France
Sae Schatz, USA
Julian Stodd, UK
Redha Taiar, France
Jacqueline Urakami, Japan
C. Dallat, Australia
Chi-Wen Lung, Taiwan
Roman Maciej Kalina, Poland
Damian Morgan, Australia
Timothy Neville, Australia
Eduardo Salas, USA
Daniel Simmons, UK
Neville Stanton, UK
Scott Talpey, Australia
Guy Walker, UK
P. Waterson, UK
Sam Abramovich, USA
We hope this book will contribute to increase in knowledge in the field of social
and organizational ergonomics and that you find the papers in this book interesting
and helpful to you and your work.
July 2019 Richard H. M. Goossens

Atsuo Murata
Contents
The Present and Future of Macroergonomic Systems

Gamifying Onboarding: How to Increase Both Engagement
and Integration of New Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Louisa Heimburger, Lea Buchweitz, Ruben Gouveia, and Oliver Korn
The Role of Building Construction Project Planning
in Accommodating Ergonomic Considerations
of the Aging Workforce . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Steven J. Kangisser and Young Mi Choi
Ergo + 50: Ergonomic Assessment Methodology Aimed
at Older Workers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Alberto Ferreras Remesal, Carlos Chirivella Moreno,
Alicia Piedrabuena Cuesta, Rakel Poveda Puente, Sonia Serna Arnau,
Consuelo Latorre Sánchez, and Mercedes Sanchís Almenara
Social Design, Innovation and Ergonomics: Reflections on Education,
Transdisciplinarity and New Blurred Models for Sustainable
Social Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
Ana Margarida Ferreira, Nicos Souleles, and Stefania Savva
Well-Being Through Design for Dynamic Diversity: The Voice
of Minorities in Design for All . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
Marcin Butlewski
Towards an Expert System for Assigning Optimal Workplaces
to Workers with Disabilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
Gregor Harih and Nataša Vujica-Herzog
Social Design, Innovation and Ergonomics

Social Art – “Echoes of Machim” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
Ana Nolasco
xi
xii Contents
Threshold Concepts and Design for Social Change . . . . . . . . . . . . . . . . 80

Nicos Souleles, Ana Margarida Ferreira, and Stefania Savva
Sustainable Collaborative Design Practices: Circular Economy
and the New Context for a Fashion Designer . . . . . . . . . . . . . . . . . . . . . 90
Lucinda Morrissey, Roberta Barban Franceschi,
and Ana Margarida Ferreira
Cultural Heritage, Collaborative Practices and Sustainable Fabric
Design: Ottoman Sultans’ Life Stories on Jacquard Design . . . . . . . . . . 102
Pınar Arslan, Ana Margarida Ferreira, and Hatice Feriha Akpınarlı
The Common-Sense Assessment of Sustainability . . . . . . . . . . . . . . . . . . 114
David Camocho, José Vicente, and Ana Margarida Ferreira
Collaborative Practices Through Design and Engineering:
The Phases of a Pilot Project to Improve the Human Condition
of Vulnerable Communities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126
João Bernarda, Ana Margarida Ferreiral, Carlos Santos Silva,
and Rui Costa Neto
Sustainable Human Environment: Mouraria, Local Color and Sense
of Place of a Historical Lisbon Neighbourhood . . . . . . . . . . . . . . . . . . . 135
Cristina Pinheiro, Lambert Rozema, and Ana Margarida Ferreira
Developing Portable Clean Cart with Broom and Dustpan
for Street Sweepers Needs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141
Bing-Cheng Zhu and Chien-Hsu Chen
Macroergonomic Systems Design and Improvement

The Reporting System as a Feedback Tool to Improve the Process
of Entering Data to the IT System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155
Maciej Siemieniak and Katarzyna Siemieniak
The Conditioning of Macroergonomic Design and Improvement
of the Intelligent Building’s Use and Service . . . . . . . . . . . . . . . . . . . . . 165
Joanna Kalkowska and Leszek Pacholski
The Macroergonomic Improvement of Total Quality Management
Industrial Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173
Milena Drzewiecka-Dahlke and Leszek Pacholski
The Ergonomics of Work Conditions as Force Element
of the OHS Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 184
Adam Górny
The Improvement of Women Professional Entrepreneurial Attitude
in a Context of Social Expectations . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195
Paulina Siemieniak
Contents xiii
Monitoring Personnel Presence and Displacement in Production

Facilities Using RFID Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206
Robert Waszkowski, Tadeusz Nowicki, and Andrzej Walczak
Evaluation, Optimization and Job Design

Effectiveness in Prosthetic Adaptation and Users’ Satisfaction:
Comparison Between Different Technologies . . . . . . . . . . . . . . . . . . . . . 217
Maria Patrizia Orlando, Claudia Giliberti, Fabio Lo Castro,
Raffaele Mariconte, and Lucia Longo
Handheld Grass Cutter Machine with Supporting Wheel . . . . . . . . . . . 228
Mayur Mhamunkar, Sagar Bagane, Lokesh Kolhe, Vikrant Singh,
Mohit Ahuja, and Yueqing Li
Ergonomic Evaluation in the Ecuadorian Workplace . . . . . . . . . . . . . . 236
Oswaldo Jara, Fanny Ballesteros, Esteban Carrera, and Pablo Dávila
Ergonomics Study in the Productive Process in Civil Construction
in the External Plastering Activity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 245
Ariel Orlei Michaloski, Juliano Prado Stradioto,
and Antônio Augusto de Paula Xavier
The Ergonomics of Sorting Recyclable Materials: A Case Study
of a Brazilian Cooperative . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 256
Hebert Silva
Quality of Labor Life in Workers of the Informal Economy
in Guadalajara, Mexico . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 266
Raquel González-Baltazar, Mónica I. Contreras-Estrada,
Silvia G. León-Cortés, Brenda J. Hidalgo-González,
and Gustavo Hidalgo-Santacruz
Social and Occupational Factors of Comfort, Risk Assessment

and Pain
Reducing the Risk of Falls by 78% with a New Generation
of Slip Resistant Winter Footwear . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279
Z. S. Bagheri, J. Beltran, P. Holyoke, G. Sole, K. Hutchinson, and T. Dutta
Risk Factors Identification for Metal Washing Process Based on QOC
Matrix the Workers’ Voice and Ergonomic Mapping . . . . . . . . . . . . . . 286
Brenda Trujillo-Sandoval and Martha Roselia Contreras-Valenzuela
Ergonomics During the Construction of the Stations and the Drilling
of the Tunnel in the Metro of the City of Quito . . . . . . . . . . . . . . . . . . . 294
Esteban Carrera, Oswaldo Jara, Pablo Dávila, Fanny Ballesteros,
and Pablo Suasnavas
xiv Contents
Comparisons of Three Observational Ergonomic Tools

for Risk Assessment on Upper Extremities in a Pump Assembly
Plant – A Pilot Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 302
Meng-Chuan Ho and Ei-wen Lo
The Impact of Work Environment in Concurrence to Productivity
in Higher Institutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 309
Timothy Laseinde, Ifetayo Oluwafemi, Jan-Harm Pretorius,
and Jesusetemi Oluwafemi
Sports, Injury Prevention and Outdoor Recreation

Thermal Performance of Equestrian Helmets . . . . . . . . . . . . . . . . . . . . 323
Merlin Bauwens, Sarah de Graaf, Alexandra Vermeir, Shriram Mukunthan,
and Guido De Bruyne
The Importance of Baselining Division 1 Football Athlete Jumping
Movements for Performance, Injury Mitigation, and Return to Play . . . 332
Reuben F. Burch, Lesley Strawderman, Anthony Piroli, Harish Chander,
Wenmeng Tian, and Fredrick Murphy
Synergistic Effect on the Characteristics
of the Seductive Appearance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345
Fuminori Matsuura, Yumie Osada, Isao Matsumoto, Yoshinori Hirano,
Xiaodan Lu, Hiroyuki Hamada, and Noriyuki Kida
Effective Measures for Minimizing Playing-Related Musculoskeletal
Disorders Among Tertiary Education Student Pianist in Malaysia . . . . 353
Titi Rahmawati Hamedon, Chia-Ying Ling, and Fung-Chiat Loo
The Effects of University Students’ Physical Activity Experience
on Communication Skills and Anxiety . . . . . . . . . . . . . . . . . . . . . . . . . . 358
Jun Egawa, Yasuyuki Hochi, Takumi Iwaasa, Emiko Togashi,
Kentaro Inaba, and Motoki Mizuno
Stress, Mental Factors and Musculoskeletal Disorders

The Development of a Comprehensive List of Risk Factors
for Hip Work-Related Musculoskeletal Disorders: Delphi Survey . . . . . 369
Ardiyanto Ardiyanto, Steven Lavender, Stephanie Di Stasi,
and Carolyn Sommerich
Ergonomic Risk Assessment of Sea Fisherman Part III: Manual
Handling and Static Posture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 379
Alessio Silvetti, Elio Munafò, Alberto Ranavolo, Antonella Tatarelli,
Lorenzo Fiori, Sergio Iavicoli, Pasquale Di Palma,
and Francesco Draicchio
Contents xv
Psychosocial Risk Management and Psychological Attachment:

Mediating Role of Job Satisfaction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 393
Michael Akomeah Ofori Ntow, Evans Sokro, Ophelia Dogbe-Zungbey,
and Noble Osei Bonsu
Prevalence, Risk Factors, and Impact on Low Back Pain Among
Nurses in a Thai Public Hospital . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 403
Manutchanok Jongprasithporn, Nantakrit Yodpijit, Varisara Saengdaeng,
Manutsamon Treralertpanith, and Supatra Poemoon
Mobbing in Service Companies in Colombia. A Silent Enemy . . . . . . . . 415
Carlos Marín and Olga Piñeros
Changes and Differences in Mental Status of Nurses: Using Mind
Monitoring System by Voice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 424
Takumi Iwaasa, Yasuyuki Yamada, Yasuyuki Hochi, Yuki Mizuno,
Emiko Togashi, Hidenori Hayashi, Aya Okada, and Motoki Mizuno
Neck and Shoulder Muscle Fatigue in High Performance Aircrafts
Pilots: Effects of a Training Program (Part 2) . . . . . . . . . . . . . . . . . . . . 430
Giorgia Chini, Alessio Silvetti, Roberto Vitalone, Valeria Di Muzio,
Marco Lucertini, Elena Lucertini, and Francesco Draicchio
Comparative Analysis of the Assessment Methods
of the Rehabilitative-Prosthetic Path of the Patient
with Lower Limb Prosthesis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 443
Francesco Draicchio, Antonella Tatarelli, Simona Castellano, Ida Poni,
Lorenzo Fiori, Alessio Silvetti, and Patrizio Rossi
Social and Occupational Ergonomics: Applications

Analysis of the Short-Term Absences of Poultry Slaughterhouse
Workers in Brazil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 461
Natália Fonseca Dias, Adriana Seára Tirloni, Diogo Cunha dos Reis,
and Antônio Renato Pereira Moro
The Prediction Models of the Maximum Power Grip Strength
and Pinch Strength in Taiwan Manufacturing Workers . . . . . . . . . . . . 473
Shu-Min Chao, Yi-Chen Chiu, and Ei-Wen Lo
Path Analysis of the Antecedents and Occupational Stress Among
the Managers of the Textile Industries: A Cross-Sectional Study
from Pakistan Using PLS-SEM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 480
Aftab Ahmad, Amjad Hussain, Mohammad Pervez Mughal,
Nadeem Ahmad Mufti, and Muhammad Qaiser Saleem
xvi Contents
Inclusion of the Informal Sector Pension: The New Pensions Act . . . . . 491
Olivia Anku-Tsede
Construction Ergonomics: Temporary Works’ Manufacturers’
Perceptions and Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 503
John Smallwood
Case Study of Science Communication in Ergonomics: Introduction
of ErgonomicThon Workshop . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 511
Yasuyuki Yamada and Takeshi Ebara
Safety Training and Occupational Accidents

A Hazard Analysis of a Gas-Fired GMH8 Goodman Furnace . . . . . . . . 519
Sarah Poelman and J. P. Purswell
Hazard Analysis of a Handheld Angle Grinder . . . . . . . . . . . . . . . . . . . 528
Franchesca Montoya and J. P. Purswell
Safety Training and Occupational Accidents – Is There a Link? . . . . . . 536
Celina P. Leão and Susana Costa
Evaluation Method for Safety Management Characteristic
of Medical Workers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 544
Haruna Yamazaki, Kana Kimura, and Yusaku Okada
Study on Exit Strategy to Promote Introduction of New Technology
to Safety Management Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 549
Naoko Sakata, Risako Shiraishi, and Yusaku Okada
Cross-Cultural Decision Making

Cross-Cultural Difference of Free Agency (FA) System Between MLB
and NPB (Nippon Professional Baseball) . . . . . . . . . . . . . . . . . . . . . . . . 561
Atsuo Murata
Language and Cultural Learning in a Short-Term Study Abroad:
An Investigation of Japanese Sojourners in Canada . . . . . . . . . . . . . . . 572
Chihiro Tajima
English Education for Young Learners in China and Europe . . . . . . . . 578
Pingfang Yu, Jiali Du, and Xinguang Li
Employee Satisfaction, Task Performance, and Emotional Labor:
An Empirical Examination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 587
Noriko Okabe
Sensitivity Analysis of Intercultural Relationship Based
on DMIS Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 598
Zhenbin Wu, Baocui Chen, and Xuebo Chen
Contents xvii
Cross-Cultural Analysis of Top Page Design Among Brazilian,

Chinese, Japanese and United States Web Sites . . . . . . . . . . . . . . . . . . . 609
Toshihisa Doi and Atsuo Murata
Globalization, Cultural Differentiation and Pluralism Processes
and Proactive Dimension of Human World
of “Boundary-Less Careers” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 621
Agnieszka Cybal-Michalska
Design Benchmarking Study Between Alessi Products
and Chinese Commodities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 630
Li-xia Hua, Jian-ping Yang, Jun-nan Ye, and Jing-ping Li
Influential Factors in Cross-Country Standards Adoption
from a Macroergonomics Perspective . . . . . . . . . . . . . . . . . . . . . . . . . . . 642
Qinyi Liu, Liang Ma, and Phairoj Liukitithara
Cross-Cultural Motivations for Information Sharing in Incident
Management at Major Events . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 649
Guadalupe Hernández-Escobedo, David K. Allen, Alan D. Pearman,
and Claudia Alejandra Ituarte-González
Author Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 663
The Present and Future
of Macroergonomic Systems
Gamifying Onboarding: How to Increase
Both Engagement and Integration
of New Employees
Louisa Heimburger, Lea Buchweitz, Ruben Gouveia,

and Oliver Korn(&)
Offenburg University Affective & Cognitive Institute (ACI),

Badstr. 24, 77652 Offenburg, Germany
{lheimbur,lea.buchweitz,ruben.gouveia}@hs-offenburg.de,
oliver.korn@acm.org
Abstract. New employees are supposed to quickly understand their tasks,

internal processes and familiarize with colleagues. This process is called “on-
boarding” and is still mainly realized by organizational methods from human
resource management, such as introductory events or special employee sessions.
Software tools and especially mobile applications are an innovative means to
support provide onboarding processes in a modern, even remote, way. In this
paper we analyze how the use of gamification can enhance onboarding pro-
cesses. Firstly, we describe a mobile onboarding application specifically
developed for the young, technically literate generations Y and Z, who are just
about to start their career. Secondly, we report on a study with 98 students and
young employees. We found that participants enjoyed the gamified application.
They especially appreciated the feature “Team Bingo” which facilitates social
integration and teambuilding. Based on the OCEAN personality model (“Big
Five”), the personality traits agreeableness and openness revealed significant
correlations with a preference for the gamified onboarding application.
Keywords: Onboarding Gamification Human resource management

Human factors Human-systems integration
1 Introduction
Companies with engaged employees perform significantly better than those without
[1]. However, only 15% of employees worldwide consider themselves as engaged in
their jobs [2]. In order to retain a positive attitude and feel engaged at work, a focus has
been placed on the intrinsic motivations of workers. Traditional incentives, such as
reward systems work on the surface, but progressively change towards the desire of
employees to do something “with a purpose” [2]. Values like freedom for creativity,
social integration and professional and personal development are of increased impor-
tance [3].
Career starters representing the generation Y (born between 1980 and 1994 [4]) and
Z (born after 1995 [5]) have differing expectations and wishes towards their working
life compared to previous generations. Generation Y and Z are both characterized by

R. H. M. Goossens and A. Murata (Eds.): AHFE 2019, AISC 970, pp. 3–14, 2020.
https://doi.org/10.1007/978-3-030-20145-6_1
4 L. Heimburger et al.
being highly technically literate [4]. Individuals of generation Y are in search for
intellectual challenge, seek those who will further enhance their professional devel-
opment and desire immediate feedback about their performance [4, 6]. Further, they
desire to perform meaningful work with committed co-workers [4]. This value is also
shared by individuals of generation Z. Both generations expect a high level of digi-
talization in their workplaces and appreciate innovative, new approaches.
Gamification is one possible innovative means to enhance user experience
(UX) and engagement within the workplace [7]. Enriching non-gaming situations (e.g.
work contexts), with game elements can make tedious tasks more fun and motivate
employees, as well as alleviate stress in social situations and make learning more
playful. When entering a new company, the first weeks strongly influence the level of
commitment and the overall length of employment [8]. However, there is little research
on the effects of gamification on onboarding processes. In this paper, we investigate the
effect of a gamified onboarding application on onboarding processes, from an
employee perspective. Further, we investigate the effect of specific personality traits on
the users’ preferences.
As a main research hypothesis, we expect users to significantly prefer gamified
onboarding applications over non-gamified approaches. Secondly, we suggested cor-
relations between personality traits and the preference for gamified onboarding.
In the next section, we provide a short overview of recent developments using
gamification in working contexts, followed by a short description of the OCEAN
personality model. The implementation of the onboarding application is presented in
Sect. 3. Subsequently, the procedure of the study is described in Sect. 5 and the results
are documented and discussed in Sect. 5. The last section concludes the paper and
gives a short summary on the limitations of our approach.
2 State of the Art
2.1 Gamification in Work Contexts

The number of projects and research approaches using gamification in corporate
contexts has highly increased in recent years [9]. In the service sector, for example in
call centers, gamified approaches have been successfully used to promote employee
motivation and optimize standard processes [10]. The attitude towards gamified work is
especially affirmative among younger employees: 86% of young job applicants rated
gamification elements as enjoyable and fun [11]. Thus, it is no surprise that gamifi-
cation approaches are now also used beyond the service domain, even trying to enrich
repetitive work in production environments. After the first ideas emerged in 2012 [12],
systems combining assistance and gamification have been designed [13] and evaluated
in several studies [14, 15].
Gamifying Onboarding: How to Increase Both Engagement and Integration 5
2.2 Gamification in Human Resources (HR)

A study with over 32,000 employees, published in 2012 [16], showed the critical role
of motivation and psychological backgrounds in working contexts. One of the key
findings was that motivated employees lead to increased economic success.
The German Haufe Group performed a related study in 2017, with a total of 227
participants [17]. The results revealed that only 16% of the employees are satisfied with
the current onboarding processes and that many companies see considerable potential
for improving these processes. Depura et al. [18] suggest that employees of generations
Y and Z desire technologically integrated workplaces with up-to-date software. Their
study showed that social media, mobile applications and gamification can improve the
engagement and learning success of new employees [8]. While conventional methods,
such as introductory events or special employee sessions are common, more innovative
approaches like mobile apps and platforms for onboarding are scarcer.
2.3 “Big Five” Personality Traits

The OCEAN model, also known as the “Big Five”, is a model defined in the mid-1980s
to describe the human personality. The model features the personality traits openness,
consciousness, extraversion, agreeableness and neuroticism (OCEAN). Paul Costa and
Robert McCrae demonstrated that these factors are robust and stable dimensions of the
human personality, independent of the empirical instruments, statistical methods,
sample type and the cultural area [19]. The “Big Five” personality test used in this
study is derived from the model of Satow [20].
3 Implementation
In order to determine the effects of gamified onboarding applications on the integration

process of new employees from the generations Y or Z, two versions of such an
application were developed: one featuring gamification elements, and one without such
elements. We drew inspirations from commercially available applications (see Table 1)
to design this app. Five major gamified features were implemented in the gamified
onboarding app: QR-Hunting, Company-Quiz, Team Bingo, Company-Whisper, and
the Onboarding Tree (summary in Table 2). Additionally, the following features were
supported in both versions of our application: (1) a newsfeed, where information about
upcoming events and (2) the possibility to contact someone from HR or a personal
“Buddy” (i.e. a dedicated person who is responsible for the training of one specific new
employee and works closely with him or her).
Table 1. Sources of inspiration and elements used for designing the onboarding application:
Application Description Extracted Elements for the
Onboarding-App
QuizClash [21] Players can challenge each other with - time pressure
questions on different topics. The one who - compete against others
scores more correct answers, wins - collect points
Plant Nanny – Players keep a personal plant alive and - playful visual feedback
Water growing. Thus, users are reminded to drink
Reminder [22] water themselves. The visual feedback
motivates users to drink water in a playful
way
Pokémon GO Players capture virtual monsters in the real - smartphone serves as a
[23] world using augmented reality. Collected means of exploring the real
monsters can be used in virtual fights world
Jodel [24] Social media platform that allows users to - publish content
publish content (short texts or images) anonymously
anonymously
Team Bingo: This feature aims to help new employees to playfully get to know other
colleagues. When tapping on a blue field, the person with whom the appointment
should be arranged, is randomly selected from a predefined pool. The new employee
can then make an appointment for a coffee or a casual after work meeting via the app
(Fig. 1). In addition, new employees can contact their “buddy”. Team Bingo is inspired
by the popular American gambling game “Bingo” [25]. It aims to enhance social
interaction between new colleagues and other employees.
Fig. 1. Screenshots of Team Bingo. From left to right: Which persons have been met and how
many meetings are still missing? Arrangement of appointments. Accepted appointment.
QR-Hunting: The QR-Hunting feature is about finding a specific destination in a

dedicated time. QR codes are distributed at various locations in the company and offer
detailed knowledge about the related topics once scanned. When a new challenge is
started, the onboarding app provides the new employee with information about the
location of a specific QR-code and starts a timer. The new employee needs to find and
scan the QR-code within the given time period. In search for QR-codes, young
employees can explore the company in a playful way. The game Pokémon GO,
designed for mobile devices, served as a major inspiration for this gamification
approach: digital tasks can only be completed while exploring the real world.
Company-Quiz: This feature of the onboarding application was designed to motivate
new employees to learn important facts about the company. The quiz can be played
alone or against other users of the application. This playful way of gathering infor-
mation about the company was inspired by the widespread game QuizClash.
Onboarding Tree: Drawing inspiration from the application Plant-Nanny, this feature
visualizes a user’s progress during the onboarding process by a tree, which grows as he
or she progresses through the onboarding process [20, 23] (Fig. 2). The more an
employee is integrated into the new company, the taller the tree grows. This visual
representation of progress addresses the common wish of career starters of generation
Y and Z for regular feedback on their own performance.
Fig. 2. Onboarding-Tree: visualization of the own progress.
Company-Whisper: Based on Jodel, a social media application mainly used among

students, Company-Whisper allows to publish posts anonymously. They are only
visible for other users of the company’s onboarding app.
Table 2. Summary of implemented game-design elements [10]:

Feature Game mechanics Game dynamics Goal
QR- Timer Time pressure Cognitive stimulation (many
Hunting new stimuli)
Points, rankings Collecting, Iterations, higher performance
competition
Company- Time display Time pressure, Cognitive stimulation
Quiz comparison
Points, rankings Collecting, Iterations, higher performance
competition
Show quiz Competition Social recognition
opponent
Team Activity Exploration Curiosity: who else can I meet?
Bingo documentation
Onboarding- Documentation of Visual feedback Feel connected to process of
Tree advancement onboarding
4 Study
98 participants (54 female, 44 male, average age = 27) took part in the study. All were
from generations Y and Z. They were either students (62%, n = 61) or young career-
starters (38%, n = 37). The study consisted of an online questionnaire with two parts.
In the first part, participants watched a video introducing the onboarding app and rated
11 statements about the app (see Table 3), using a 5-point Likert scale (from 1 = “I
totally disagree” to 5 = “I totally agree”). Participants had the opportunity to add
additional comments in two open questions: “Which features do you like best?” and “Is
there a feature missing?” In the second part, the participants completed the “Big Five”
personality test [20].
Table 3. Statements on the onboarding app (OA) in the first part of the questionnaire:
S1 The video has made me curious and stimulated me to download the OA
S2 I would use the onboarding OA even before my first day of work
S3 I can imagine that the OA will make it easier for me to get started in the new company
S4 Offering such an OA would welcome me as a new employee
S5 I can imagine that the OA helps me to get to know future colleagues more easily
S6 I can imagine the OA helping me get to know the company faster
S7 I do not see any added value in the OA and therefore would not download it
S8 The OA shown in the video appeals to me
S9 The OA design appeals to me
S10 The way the OA is built will be intuitive to use
S11 Frequency of the usage of the OA. (Never, monthly, weekly, daily, several times a day)
The participants were divided into two groups: while the experimental group (62
participants) watched a video presenting the gamified onboarding app, the control
group (36 participants) watched a video of the same app without gamification elements
(i.e. QR-Hunting, Company-Quiz, Team Bingo, Company-Whisper and Onboarding
Tree). The rating statements and the personality test questions were identical in both
groups.
5 Results
In the analysis of the first part of the questionnaire, t-tests were used to evaluate the
preferences for the gamified or non-gamified onboarding application. In the second
part, we investigated correlations (r = correlation coefficient, Spearman’s rho) between
the rated statements on the gamified onboarding app and the “Big Five” personality
traits (openness, consciousness, extraversion, agreeableness and neuroticism).
5.1 The Rating Statements

All in all, the gamified onboarding application was preferred over the non-gamified
version for all 11 statements. In the following, we discuss the five statements revealing
higher differences in participants’ preferences (see Fig. 3).
Statement 10: I perceive the onboarding app as intuitive. The non-gamified app’s
mean rating was 3.64 (SD = 0.87) while the gamified app scored 4.16 (SD = 0.68).
This highly significant difference (t(96) = 3.30, p < .002) strongly supports the
hypothesis that a gamified onboarding application has advantages over non-
gamified approaches. One reason why the gamified onboarding app was experi-
enced as more intuitive might be due to familiar elements, which participants might
already know from other applications (e.g. writing messages, or a visual repre-
sentation of the own progress [26]).
Statement 8: I perceive the onboarding app to be fun and appealing. Participants in
the non-gamified condition ranked this question with a mean of 3.39 (SD = 1.23),
while the gamified app’s mean was M = 3.90 (SD = 1.00). The difference is sig-
nificant with t(62) = 2.14, p < .040. One might suspect the gamified onboarding
app to be perceived as more fun and appealing due to the various playful elements.
The stressful task to familiarize with the new company and new colleagues is
enriched by gamification elements offering playful, social interactions. New
employees might appreciate the engaging, fun way their nervousness is reduced – as
one participant framed it: “information before the first day, reduces uncertainties”
[P13].
Statement 5: I perceive the onboarding app as supportive in getting to know future
colleagues. The mean of the gamified onboarding application was significantly
higher for S5 (M = 3.97, SD = 0.91), than that of the non-gamified approach
(M = 3.50, SD = 1.08), with t(63) = 2.19, p < .040. The feature Team Bingo, for
example, provides an anonymous and fast way to contact new colleagues. By
providing the opportunity to get in touch virtually, the hurdle to address them in
person is by-passed.
Statement 2: I would rather use the onboarding app before my first day of work
scored the mean rating M = 3.94 (SD = 1.35) for the non-gamified app, compared
to the mean of M = 4.44 (SD = 0.84) of the gamified app. This marginally sig-
nificant difference shows that the gamified onboarding application addresses the
important need for social interaction and integration of new colleagues [27] better
than the non-gamified version, with t(51) = 1.97, p < .060.
Un-gamified app Gamified app
Fig. 3. Mean values of the four significant statements regarding the onboarding app.
5.2 The “Big Five” Personality Test

The analysis of the “Big Five” revealed significant correlations between the two per-
sonality traits agreeableness and openness and four of the statements from the first part
of the questionnaire (see Table 4). In the following, we will give a short explanation on
the personality traits which have been found to be connected to the preference of our
gamified approach:
• Agreeableness: This trait describes the tendency to be compassionate, cooperative
warm-hearted, helpful, tolerant and forgiving towards others [28].
• Openness: Openness, sometimes also called “Intellect” [28], is commonly associ-
ated with being curious, broad-minded, intelligent and imaginative.
The gamified application has an appealing design (r = 0.362) and strongly arouses
the curiosity of persons with the trait agreeableness (r = 0.255). Further, agreeable
individuals assume that the app would help them to get in contact with future col-
leagues more easily (r = 0.250). Individuals with the trait openness believe that the
gamified onboarding app would facilitate getting started in the new company
(r = 0.303). In the following paragraphs we discuss the significant correlations in more
detail.
Table 4. Significance level of correlations between statements of the gamified onboarding app
and personality traits. Bold underlined values: significance levels below a = 0.05.
Extraversion Neuroticism Conciousness Agreeableness Openness
The video has made 0.681 0.078 0.953 0.045 0.130
me curious and
stimulated me to
download the
onboarding app
I can imagine that the 0.934 0.541 0.580 0.242 0.017
onboarding app will
make it easier for me
to get started in the
new company
I can imagine that the 0.147 0.255 0.476 0.050 0.547
onboarding app helps
me to get to know
future colleagues more
easily
The app design 0.436 0.365 0.115 0.004 0.294
appeals to me
Agreeableness
The Gamified Onboarding App Arouses Curiosity. According to the analysis, watching
the video of the gamified onboarding app arouses the curiosity of agreeable persons. In
contrast to the non-gamified version, the gamified one has playful elements, such as
Team Bingo. As agreeableness is the main dimension by which interaction partners are
first judged [29], the gamified app allows open-minded persons to get to know inter-
action partners more easily.
The Gamified Onboarding App Supports the Process of Getting to Know Future
Colleagues more Easily. Agreeable individuals are often described as team players,
warm-hearted, cooperative and helpful. Several features of the gamified onboarding
app promote community and team cohesion, such as Team Bingo, Company-Whisper
or Company-Quiz.
The App Design is Appealing. The results show a highly significant correlation
between the agreeableness and the rating of the app design. As the design is charac-
terized by a clear and intuitive structure and agreeable persons are particularly in search
of harmony [30], one may assume that they like the straightforward, harmonious
design.
Openness
The Gamified Onboarding App helps to Facilitate the Start in the new Company. The
fact that open-minded individuals think that the gamified onboarding app can facilitate
the start in a new company is not surprising. After all, open-minded persons are
characterized by being curious, imaginative and having a positive attitude towards new
experiences. An onboarding app which supports meeting new colleagues and conveys
the values of a company easily is, therefore, appreciated by persons who are welcoming
and broad-minded.
5.3 Qualitative Findings

In this sub-section we briefly note some of qualitative statements from the two open
questions in the questionnaire (“Which features do you like best?”, “Is there a feature
missing?”).
The most frequently mentioned positive feature was Team Bingo. Many partici-
pants stated that getting to know other colleagues is very important for new employees,
e.g. “getting to know the team, organization of appointments even after work” [P6] or
“contact to other employees through Team Bingo” [P19]. This supports our initial
research hypothesis that a gamified onboarding app offers benefits over non-gamified
approaches.
Further, it is notable that several participants especially appreciated the “Buddy”
concept, for example by stating “I also like the Buddy idea” [P26]. Several participants
expressed that they would like to regularly receive information on the new company
even before the first day of work: “information before the first day, reduces uncer-
tainties” [P13] or “tips on the many little things that you would only understand after
days/weeks in the company” [P31].
These qualitative findings support our suggestion that innovative and modern
approaches for onboarding like apps are in general appreciated by young employees of
generation Y and Z.
6 Conclusion
In this work, we analyzed how gamification can affect onboarding processes. Firstly,
we described a mobile onboarding application specifically developed to support
onboarding processes for those in generations Y and Z. Secondly, we reported a study
with 98 participants of these young generations (either students or young career star-
ters). Our goal was to determine if a gamified version of the onboarding application is
preferred over a version without playful elements.
According to our expectations, the gamified onboarding app was preferred to the
non-gamified version. Four out of 11 rating statements revealed statistically significant
differences: users perceived the gamified onboarding app as more intuitive, more fun
and appealing, more supportive in meeting future colleagues, and they would rather use
the gamified version before their first day of work.
Also, the expectations on correlations with personality traits were confirmed: the
study showed that especially agreeableness and openness correlate with the preference
for the gamified onboarding app. Furthermore, qualitative findings indicate that fea-
tures promoting social integration are particularly well received, especially the playful
feature Team Bingo.
In conclusion, we believe that the integration of gamified features makes
onboarding solutions more effective and more user-oriented, especially for employees
of the generations Y and Z. Important information can be learned in a playful way and
contact with advisors and future team members is facilitated.
Limitations and Future Work
To obtain more in-depth results, the survey should be repeated at a later stage in the
development process of the gamified onboarding application. As a result, the user
experiences could be tested with a fully implemented application, rather than a video
demonstration of the app.
Acknowledgements. This research was enabled by a co-operation between the Affective &
Cognitive Institute of Offenburg University and the Haufe Group. The onboarding app and the
gamification features were implemented in the Haufe Corporations & Public Sector business unit
under the supervision of Christian Kempter.
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The Role of Building Construction Project
Planning in Accommodating Ergonomic
Considerations of the Aging Workforce
Steven J. Kangisser(&) and Young Mi Choi
Georgia Institute of Technology, Atlanta, GA 30332, USA

stevek@gatech.edu, christina.choi@design.gatech.edu
Abstract. The construction industry has long experienced a shortage of skilled

labor. This paper is intended to identify ergonomic problems that foreshorten
older workers’ involvement in the industry in order to address the shortage of
new workers and an exodus of often injured old ones. Challenges exist to
attracting workers. These include resistance to technologies, tasks that must be
performed by hand, mandatory lifting in excess of recommended limits, need for
repetitive motions, existence of irregular and hazardous surfaces, noise levels
exceeding safe limits, exposure of workers to vibration, frequent dust, and
inadequate lighting, use of building materials that cause skin irritation, need to
work in inclement weather, and work schedules that cause disruption to circa-
dian rhythm. This study shows management must plan for older workers’
ergonomic needs, starting by creating site-specific plans more broadly focused
on workers’ wellbeing than are safety plans, to extend older workers’
involvement in the field.
Keywords: Aging Cognitive Construction Ergonomics Human factors

Labor Sensory Training
1 Introduction
The construction industry requires a very large workforce, however, over the past
several decades the industry has experienced a shortage of skilled craft labor. Factors
that effect this continued shortage include the lack of appeal the industry has for young
people. These young, potentially skilled craft labor individuals are being steered toward
college degrees rather than blue collar jobs. Of great concern to any industry that is
suffering from a chronic shortage of skilled labor, the construction industry has a labor
demographic with median ages far in excess of the national average. The greatest
number of craft skills in the industry are filled with workers over the age of 45.
A possible solution is to encourage workers to remain in the labor pool for additional
years. Many physical factors exist that make remaining in the industry difficult for older
workers. If the industry is to retain older skilled craft labor, the needs of older workers
must be considered. By considering human factors and ergonomics it is possible to
accommodate older workers in the construction industry, prolonging the number of

https://doi.org/10.1007/978-3-030-20145-6_2
16 S. J. Kangisser and Y. M. Choi
years the worker can remain gainfully employed on construction project sites. This
requires analysis of the way workers interact with tools, materials, and fellow craft
laborers in the conduct of the required tasks.
2 Craft Labor Shortage
The building construction industry requires an enormous workforce, employing over

seven million employees, both full and part time. For the past several decades the
industry has experienced a shortage of skilled craft labor. There is no indication that
this labor condition will change soon. Although skilled labor shortages are not unique
to construction, the condition is compounded by the slow rate of technology-driven
productivity increases within the industry (D. Olson, M. Tatum, How Industrial
Contractors are Handling Skilled Labor Shortages in the United States, 2012).
Factors that effect this continued shortage include the lack of appeal the industry
has for young people. Tucker and Haas have discussed how young, potentially skilled
craft labor individuals are being steered toward college degrees rather than blue collar
jobs (Tucker et al. 1999). Currently the status of construction craft labor jobs has
diminished, making it difficult to recruit new workers. A Clemson University survey of
1,800 construction craft workers revealed that 70% did not want their children to take
up their career path (BNA Construction Labor Reports, 46, no. 2296, 2000). Addi-
tionally, a lack of organizational investment and promotion opportunities within con-
struction companies, make the industry less appealing (Carley et al. 2003).
The effects of these and other factors can be observed when comparing the number
of unfilled positions to the total number of current jobs. Figures 1, 2, and 3, below,
demonstrate that as the industry recovered from the recent recession, the labor market
was not able to fill the needed positions. This condition exists even though wages have
grown consistently from year to year.
Fig. 1. Unemployment construction industry, 2008–2018

The Role of Building Construction Project Planning 17
Fig. 2. Job openings, 2008–2018
Fig. 3. Earnings per hour, 2008–2018: construction industry sector
3 Aging Workforce
Of great concern to any industry suffering from a chronic shortage of skilled labor, the
construction industry has a labor demographic with median ages far in excess of the
national average. The greatest number of craft skills in the industry are filled with
workers over the age of 45. The chief economist for the National Association of Home
Builders, Robert Dietz PhD, reports that it’s number of members over 55 has increased
by a dramatic 57% over the past decade, with the average age of the group’s members
is now 57 years old. The Burau of labor Statistics reports that in the overall builder
related sector, 17% of workers are between 55 and 64 years of age and six percent are
over this age. For the economy in general, this number is 13% between 55 and 64 and
only three percent are above. Figures 4 and 5 illustrate construction age distribution
relative to all occupations and by craft.
Fig. 4. Construction age distribution relative to all occupations
Fig. 5. Median age by craft position
4 Why Workers Leave
Relative to other industries, building construction is slow to adopt new technologies.

Most work tasks are still performed similar to historical norms. Movement of materials
and tools are assisted by mechanical methods; however, much is still performed by
hand. Lifting in excess of recommended limits occurs on a regular basis. Loads are
positioned by means of pushing, pulling, and lifting (Fig. 6). Mounting and finishing
requires repetitive motions. Walking surfaces are irregular and often hazardous,
resulting in slips and other falls. Climbing of ladders is frequently required. Workers
must, at times, pull themselves up or use arm and shoulder strength to lower their body
weight. Noise levels can exceed safe limits for short durations and may be elevated for
longer length of time. Many tools and work tasks also expose workers to vibration
levels of varying degrees. Dust is a frequent nuisance and may require shielding if of a
hazardous nature. Lighting is often installed as a temporary measure and may be far
less than adequate for even those with excellent vision. Workers are exposed to a wide
range of materials, some of which can cause skin irritation. Construction continues in
all ranges of weather, exposing workers to rain, ice, heat, solar rays, cold and high
humidity. Additionally, work frequently continues around the clock. (Koningsveld, H.
Van der Molen, History and Future of Ergonomics in Building and Construction,
Ergonomics, 2010). Workers must therefor adjust to changes in shift times and disrupts
to circadian rhythm.
Fig. 6. Routine physical stress (from us-ergo)
In a German study of older workers, construction workers between the ages of 40

and 64 years where monitored for vocation related health conditions. The study group
included 4,958 workers from a variety of construction crafts. Job specific prevalence
and age adjusted relative prevalence were calculated for hearing loss, lung auscultation,
blood pressure, heart conditions, body mass, liver disease, musculoskeletal system
abnormalities, and skin diseases. Disabilities and all types of mortality was ascertained.
Using Cox’s proportional hazards model, job specific risks, adjusted for outside factors,
were obtained. The study concluded that older construction workers can be expected to
exhibit a higher prevalence of hearing deficiencies, signs of obstructive lung diseases,
increased body mass, musculoskeletal abnormalities, than those in other industrial
sectors. Compared with white collar workers, those in construction crafts have a 3.5 to
8.4-fold increase in the rate of disability (Arndt et al. 1996). This study offers a clear
argument as to why older craft workers find it difficult to remain employed. In fact,
during the course of the study 141 men died and 341 men left the labor market due to
disability.
The construction industry does not have a good reputation of promotion opportu-
nities for craft workers. Projects can be of relatively short duration and some crafts are
needed for only a small portion of the overall project. Workers must, therefore, seek
new opportunities and change job sites frequently. This is not only stressful, it hinders
the construction managers ability to identify workers deserving of reward.
5 Needs of Older Construction Workers
As has been demonstrated, there is a shortage of craft workers within the construction
industry. Various factors are making it difficult to recruit new workers. A possible
solution is to encourage workers to remain in the labor pool for additional years. The
previous section of this report discussed physical factors that make remaining in the
industry difficult for older workers. If the industry is to retain older skilled craft labor,
the needs of older workers must be considered.
Older workers differ from the general labor pool in several ways. One of these is
that aerobic capacity has been found to decline in both males and females over the
course of their career. This has been found to equate to a reduction by 10% for each
decade of life. This reduction in capacity is from reduced ventilation rates, reduced
maximal cardiac output and reduction in peak heart rates associated with ageing
(Shephard 1999). The reduction in aerobic capacity has an impact on physical work,
where younger workers may outperform the capacity of older workers. Reports of
fatigue from older workers are not frequent, however. his may be attributed to miti-
gating factors including experience and seniority allowing for selection of lighter tasks.
Although physical strength and endurance characteristics are different for each
worker, they have been found to remain mostly constant until around 40 years old then
to reduce slightly between 40 and 65 years (Shephard 1999). There is an average
decline of 10–25% in muscular capacity at age 65 compared with the peak lifetime
value. Research has identified that spinal flexibility; isometric trunk strength and hand
grip strength decreases with age. Research also identifies reductions in specific strength
and flexibility but that older workers involved in heavy physical tasks had maintained
strength and there were suggestions of a training effect from work (Schibye et al. 2001).
The need for recovery between activities has been addressed by two studies. The
studies identified that there is a significant increase in the need for recovery associated
with increasing age, high physical and high psychological demands, monotonous work
and working full time. Musculoskeletal disorders have been found to increase in both
prevalence and incidence with age. However, a recent review of work, equalities and
musculoskeletal health identified that there are varied results when examining rela-
tionships between musculoskeletal disorders and age. It can be generally stated that
there is an increased risk of many musculoskeletal disorders with age (Crawford et al.
2010). Older workers demonstrate increased sway when standing normally and age has
been associated with a reduction in physical balance. Reduction in balance with age
must be kept in mind in when planning construction activities (Punakallio 2003).
Anthropometric changes also occur with ageing. Body mass index (BMI) increase,
reduction in height and increase in weight have been observed. Evidence of age-related
change in body dimensions can dictate consideration in construction planning.
Older workers are also more susceptible to heat-related stress. Heat tolerance
decreases due to age-related cardiovascular changes. Although otherwise healthy older
workers appear to be no more susceptible to serious adverse effects from working in
heat than younger workers, construction activity planning should consider that aging
individuals within a construction workforce are more prone to develop conditions such
as type 2 diabetes which can predispose workers to heat-related illness (Pandolf 1997).
Along with aging comes a slowing of reaction times. Often older workers slow
down to accommodate a need for accuracy. This lowing can be compensated for with
accumulated knowledge and experience. Performance measures using speed will show
a decrease in speed with age. However, accuracy of performance in relation to quality
or safety may increase with age. In terms of maintaining and improving intellectual
functioning, studies support the ‘use it or lose it’ hypothesis. Maintenance of intel-
lectual abilities has been associated with high levels of educational attainment, high
occupational mental workload, regular intellectual stimulation and cognitive exercises.
Long-term maintenance of health is dependent on physical activity, diet and intellectual
stimulation. Despite assertions on the impact of ageing on psychological processing,
there are large individual differences. However, 95% of 1600 people surveyed over the
age of 65 showed no signs of impairment (K. Benjamin, S. Wilson, Facts and Mis-
conceptions about Age, 2005).
Age-related changes in visual acuity and hearing are also a consideration. For the
most part, these changes can be accommodated within the construction workplace.
Changes in visual acuity, loss of accommodation, reduction in depth perception and
loss of color discrimination can be compensated for at both an individual (use of
glasses and hearing aids) and an organizational level (improved lighting and signage).
Mandatory use of hearing protection can help prevent auditory problems as the worker
ages.
6 Human Factors and Ergonomics
By considering human factors engineering and ergonomics it is possible to accom-

modate older workers in the construction industry. This will prolong the number of
years the worker can remain employed on construction project sites. Such an effort
requires analysis of the way workers interact with tools, materials, and fellow craft
laborers in the conduct of required tasks. The first efforts to study human performance
in the workplace were time and motion studies conducted in the early twentieth cen-
tury, emerging as a scientific discipline following World War II when the interaction of
body position and control designs was evaluated in relation to the person performing a
task, such as pilots. Collecting data on human factors on a construction project site is
particularly challenging given the large amount of activity ongoing and the ever-
changing nature of the work environment. It is highly unlikely that a work situation,
including the distractions surrounding the worker, will ever exactly repeat itself. Also,
every work site is vastly different from each other. Nonetheless, human factors spe-
cialists have made great strides in applying ergonomic considerations to tools and
equipment used in the construction industry. This is evident from the design of simple
hand tools to the design of controls found in heavy construction machinery.
In order to better accommodate older workers in the construction industry, better

design of tools and machinery is not, however, adequate. Instead, the design of indi-
vidual tasks and the overall construction process must consider the abilities and lim-
itations of those who are relied upon to perform them. In many cases, the inability of a
worker to perform an assigned task is not the fault of the worker, but that of those who
planned the actual work activity. Management must take human factors and ergonomic
considerations into account early in the planning stage for building construction
projects.
7 Sensory and Cognitive Considerations
As discussed earlier in this report, older workers may process information differently
than their younger counterparts. With the large amount of activity surrounding the
worker, including noises from many sources, the volume of information to be observed
and processed can be enormous. It is important to understand how this information is
collected and processed. First registered by the sensory system, including vision,
hearing, and touch, information is gathered by the individual. Some, but not all, of this
information is processed by the brain and a decision on how to react is made (see
Fig. 7, below). Workers do not have the ability to process all the information received
in real time. As a result, only a fraction of all the information received is processed
consciously. This occurs in short term memory. As a limited amount of information can
be retained, most information in short term memory fades away quickly. Information
deemed to be more important is then transferred to long term memory.
Fig. 7. Cognitive processing (from Atkinson and Shiffron)
Information stored in long term memory is available to guide the worker for
decisions required when a similar situation occurs in the future. As many tasks in the
construction industry are performed repetitively, long term memory allows the worker
to perform these tasks more rapidly than when a large amount of new information is
required to make a decision before taking an action (Atkinson and Shiffrin 1971).
As the ability to collect and process information is limited, a large amount of
competing sensory information causes the worker to focus more closely on the task at
hand. This can result in the worker not observing other events occurring nearby. The
vast amount of hazardous activities taking place on a construction project site can lead
to safety concerns. This also holds true for instances were too many warning signs are
posted or too many instructions given simultaneously. These may compete with more
important sensory signals such as the audible warning signal from a crane or forklift. If
a worker must devote attention to a large number of direction or warnings at the same
time, eventually an error or accident may occur. For older workers, the ability to
register information visually or audibly may be reduced and reaction time may be
slower. By reducing the amount of distractions, older workers can better observe and
process information.
As illustrated, the primary source for gathering on-site information for decision-
making is visual. Given the reduced visual capability of typical older workers, and the
shift nature of building construction projects, job site illumination is critical to
accommodating older workers. As workers age the clear substance between the lens
and the retina becomes clouded. This causes light to scatter and reduces contrast of
visual images on the retina. Proper job site lighting is more critical to older workers.
The primary goal of job site lighting is to provide the best possible visual environment
for site activities that must be performed by craft labor. Most existing research on this
subject has been focused on highway construction but typically translates to building
construction sites when working at night or in closed environments lacking permanent
lighting installations. Nighttime lighting standards of various State Departments of
Transportation are formulated to maximize average illuminance and lighting uniformity
in the work area while reducing glare levels (K. El-Rayes, K. Hyari, Automated DSS
for Lighting Design of Nighttime Operations in Highway Construction Projects, 2003).
As such, construction site lighting systems are designed to simultaneously maximize
average illuminance, maximize lighting uniformity, minimize glare, and minimize
costs. This requires consideration of luminous intensity (brightness of point source),
luminous flux (flow of light) and illumination (amount of light reflected or emitted from
a surface). In a study conducted by El-Rayes and Hyari, a model is presented that
optimizes ambient construction site lighting (El-Rayes and Hyari 2003). The system is
developed in three main stages:
• Incorporating all relevant decision variables and constraints that affect lighting
conditions in nighttime construction projects
• Formulating the optimization objectives in this design problem
• Implementing the system as a robust design tool that provides the required effec-
tiveness and efficiency
Generally, older workers’ needs can be adequately accommodated by providing
construction site illumination that avoids bright lighting within 60 degrees of the center
of visual field, use of indirect lighting, employing a large number of dim light sources
rather than a few bright lights, and providing polarized light protection shields to block
glare for older workers required to perform tasks in confined spaces (Helander 2005).
8 Older Workers’ Exposure to Extreme Conditions
Older workers are typically less able to accommodate extreme work conditions. In the
building construction industry workers may often be exposed to site conditions not
typical in most work environments. Among these are very high or low ambient tem-
peratures. ISO 9886:2004 describes methods for measuring and interpreting body core
temperature, skin temperatures, heart rate, and body-mass loss. These factors should be
considered to be more important to the performance of older workers. Construction site
planning should provide shade and wind protection whenever possible. Older workers
should be scheduled to avoid the most extreme climatic exposure and should be per-
mitted time to acclimate if possible. Water and liquids formulated to hydrate workers
(such as Gatorade) should be provided. Daily schedules should also include additional
short breaks at the most severe times of the shift. Assigning older workers to hot,
confined spaces should be avoided.
Another extreme condition is the cognitive effect of shift work. Major health effects
of changes in shift times are lack of sleep and changes in dietary habits. Shift work may
also influence social life as workers are removed from friends and family. While single
night shifts have minimal effect on circadian rhythm, multiple shifts cause workers to
adjust to the change and to readjust when returning to day shifts. Some workers require
a full week to adjust to a change from day to night shift. A 1994 study by Tankova and
Adon demonstrated the effects of changes in working schedules on circadian rhythm.
The study measured the effect of age on the ability to adjust to changes in shift hours.
The authors rated participants based on ability to function better in morning as com-
pared to evening hours. It appeared that the changes in the morningness-eveningness
preference covaried with age related changes in the internal body clock. Older age was
associated with morningness while younger subjects tended towards eveningness.
A critical age tipping point for the circadian typology change was estimated to be 50
years of age (Tankova et al. 1994).
Approximately 20% of the population experiences severe difficulty in adjusting to
shift changes. This may be for either social or physical reasons. Workers who are
unable to adjust experience an elevated incidence of nervous problems or gastric
disorders. Factors that may affect a worker’s ability to adapt to shift changes include a
lack of a strong social support group, presence of gastric or digestive disorders, and
persons with a history of sleep problems or who lack a quiet place to sleep during the
day (Helander 2005). Older workers often fit these criteria more than those who are
younger. For these reasons, older workers should be discouraged from accepting night
shifts in excess of a single shift.
9 Training for Older Workers
The aging workforce, accompanied by advances in technology, are bringing about

changes to the construction work environment. While older workers typically have
elevated amounts of traditional experience and knowledge, they are often lacking in
skills associated with new technology. Continued employment of older workers, par-
ticularly those of lower levels of formal education, requires ongoing training programs
to ensure job competence. A study of 37 unemployed older adults was conducted by

Lee and Czaja in order to gather information about barriers and obstacles for returning
to work, training needs, work experiences, and job perceptions. Participants indicated a
perception of age discrimination and lack of technology skills. They expressed a desire
to receive additional training on technology and a preference for classroom training
(Lee et al. 2008). Evidence, however, suggests that many older workers benefit more
from on job training as compared to lecture methods. Learning is itself a skill. Workers
that are exposed to regular skill training can be expected to be better able to assimilate
new information and to be able to keep up with new skill practices. On going training
that combines formal instruction with on job practice is likely to have a positive effect
on the skill levels and confidence of older workers.
10 Conclusion and Recommendations
As earlier stated, every construction job site is unique. This aspect of the construction
industry offers challenges in many regards, including that of project planning and
management. For this reason, an early step in the project process is the compilation of
various site-specific plans. Among these are site access, staging, utilities, and safety. If
contractors are to fully consider all aspects of human factors and ergonomics, a plan
devoted to these considerations should also be prepared. Managers may feel that human
factors and ergonomics are covered in safety plans. Safety, however, is focused on
accident avoidance. This is not the same as ergonomics planning which considers not
only safety, but also the long-term wellbeing of the worker. By considering the
wellbeing of each worker, laborers will be able to experience reduced physical and
mental stress over their career. This can extend the number of years a worker can
remain actively engaged in the construction field.
Ergonomic site plans must serve as a living document, continually being updated.
Revisions and updates should include new activities, new technologies, and lessons
learned on site. Project managers must remain engaged in observing worker habits and
how they align with ergonomic guidelines. One way of analyzing worker habits is
referred to as PATH (Posture, Activity, Tools and Handling). PATH is a work sampling-
based approach, developed to characterize ergonomic hazards of construction and other
non-repetitive work. The PATH method assigns codes based on the Ovako Work Posture
Analyzing System, with additional codes included for describing worker activity, tool
use, loads handled and grasp type. This method can be used by project teams to identify
site specific ergonomic hazards. Once identified, plans can be revised to correct such
issues as poor lifting situations imposed by project layout (Buchholz et al. 1996).
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Texas (1999)
Ergo + 50: Ergonomic Assessment
Methodology Aimed at Older Workers
Alberto Ferreras Remesal(&), Carlos Chirivella Moreno,

Alicia Piedrabuena Cuesta, Rakel Poveda Puente, Sonia Serna Arnau,
Consuelo Latorre Sánchez, and Mercedes Sanchís Almenara
Instituto de Biomecánica de Valencia, Universidad Politécnica de Valencia,

Edificio 9C, Camino de Vera s/n, 46022 Valencia, Spain
{alberto.ferreras,raquel.marzo,alicia.piedrabuena,
rakel.poveda,sonia.serna}@ibv.org
Abstract. The ageing of population in Western societies has a marked impact

on social reality and its effects affect many areas, including work.
Ageing has implications, both positive and negative, in people’s abilities and
skills. While some abilities (vision, hearing, strength …) may decrease, some
cognitive functions, such as controlling the use of language or the ability to
process complex problems, may improve with age.
Although the effects of ageing on skills have been widely studied, the vari-
ability of the evolution of people makes it necessary to have assessment methods
that consider older workers and, in particular, that value the ability to work and
guide towards criteria that favour labour insertion and ergonomic adaptation of
jobs.
These are the principles that have guided the development of the “Ergo + 50”
methodology, an ergonomic assessment procedure aimed at detecting working
conditions that have a specific relationship with the ageing process. The
methodology includes two interrelated modules that analyse, on the one hand,
the characteristics of tasks and jobs (environmental conditions, cognitive
aspects, physical load, design, organization, policies …) and, on the other hand,
the perceived abilities of older workers, to carry out the tasks. The results
obtained include the prioritized diagnosis of the situation, as well as recom-
mendations for improvement.
Keywords: Ergonomics assessment Older workers Ageing

Workplace design Workplace adaptation Work ability
1 Introduction
1.1 The Ageing Workforce

As society ages, so does the workforce. According to data from the European Labour
Force Survey [1], workers aged 55+ currently make up for 16% of the total workforce
in the European Union. By 2030, workers aged 55–64 are expected to make up 30% or
more of the workforce in many European countries. The retirement age is increasing in
many countries and many workers are likely to face longer working lives [2].

https://doi.org/10.1007/978-3-030-20145-6_3
28 A. F. Remesal et al.
Ageing at work is, therefore, a reality that affects both the health and safety of
workers and the productivity and competitiveness of companies. Ageing at work is
conditioned by the work ability, which is determined by the interaction between the
characteristics of the workers and the working conditions.
Work ability is a complex concept that encompasses the individual and occupa-
tional aspects that are essential when facing the demands of work [3]. Individual
resources that influence work ability include the person’s health, functional capacity
(physical, mental, social), professional competence (training, skills, experience),
motivation and job satisfaction. Regarding the occupational factors that influence the
way individual resources are used, the demands of work (physical, mental), the
environment, and the organization of work can be included.
As the World Health Organization [4] indicates: “changes that occur during ageing
are not linear or uniform, and only vaguely associated with a person’s age”. Individual
variables and life history make the difference in the forms of ageing: an elderly person
may be full healthy and another may be dependent to carry out the activities of daily
living. However, from a biological point of view, ageing reduces the physiological
reserves and therefore there is a greater chance of having diseases and a reduced
functional capacity.
Changes in the roles and social positions during the life cycle are very frequent,
these changes are important and it is necessary to consider them to understand the
process and the heterogeneity of the ageing process.
The functional capacity of a person is determined by physical, sensory and cog-
nitive level, as well as the interactions associated with different environments
throughout life.
• At the physical level, as people age, we can find a reduction in joint mobility,
especially in the hands and neck, due to different factors such as loss of bone mass,
loss of tissue flexibility, disorders of the nervous system and vascular disorders,
among others. There are also other aspects such as decrease in strength, balance
alterations or changes in gait, due to different pathologies [5–7].
• At the sensory level, we can highlight the reduction of visual acuity, changes in
sensitivity to contrast or glare, worse adaptation to darkness and less colour dis-
crimination, decreased hearing capacity and less tactile discrimination of forms [3,
8, 9].
• In the cognitive area, there is a reduction of the sustained attention and less flexi-
bility in the areas of memory and learning [3, 8].
Nevertheless, these changes have many individual differences. That is what we
know as “individual ageing” [10].
The association between work and ageing can be seen, therefore, from two com-
plementary perspectives:
• First, due to the natural ageing process of all people, older workers may face
problems related to the design of their jobs (for example, hand force decreases with
age, therefore a 55 year old person is not going to be able to perform the same
efforts as when he or she was young).
Ergo + 50: Ergonomic Assessment Methodology 29
• On the other hand, certain jobs can be a major hazard on people, which can lead
workers to face an accelerated process of ageing or deterioration (for example, shift
work, work on heavy tasks, under extreme environmental conditions, etc.).
The work ability is not only related (negatively) with the age deterioration and the
lack of adaptation of the environment. The performance of the career can provide
certain advantages to older workers, such as experience, ability to solve complex
problems, tricks and shortcuts in certain tasks, global vision of the company and their
job, etc. These aspects are very important because, being well managed, they can be an
important asset when assigning tasks, organizing work or redesigning jobs, so that
workers are able to adapt satisfactorily to work.
1.2 The Ergonomics Perspective on Ageing

In a broad sense, we could define ergonomics as the multidisciplinary field of
knowledge that studies the characteristics, needs, abilities and skills of human beings,
analysing those aspects that affect product design or production processes. All the
applications have a common objective: to adapt the products, tasks, tools, spaces and
the environment to the ability and the needs of people to improve the efficiency, safety
and welfare of users or workers [11].
The poor ergonomic conditions in the workplace can cause lack of efficiency, low
productivity, errors or discomfort. However, the most visible and problematic effects of
the absence of ergonomics in the workplace are musculoskeletal disorders [12, 13].
Ergonomics plays an important role in this association between work and ageing.
Ergonomics, from a work perspective, deals with the adjustment between the demands
of the job and the worker’s abilities, so demands are never higher than capacities and,
therefore, work performance is healthy, comfortable and efficient.
Ergonomic assessment aims to detect the mismatches that exist between the
characteristics of the work and the worker’s abilities and assess the potential risks that
the work may cause to the worker. In this sense, it is important to consider the workers’
diversity and pay special attention to those that can be sensitive to working conditions.
Age is an example of the human diversity and, therefore, should be take into account in
the ergonomic studies. The two most relevant aspects when considering older workers
in the ergonomics assessment are:
• Assess the actual capacity (not the age) and compare it with the job requirements.
• Focus especially on risks that are more likely to affect older workers: physical
(repetitiveness, efforts), organizational (shift and night work), environmental (ex-
treme temperatures), psychosocial (obsolete skills, lack of updated training), etc.
The ergonomics assessment methods make possible the identification and eval-
uation of the risk factors present at the workplaces in order to put forward redesign
options to reduce the risk to an acceptable level for workers:
• For an initial assessment, the use of checklists is recommended. Checklists are
quick methods of assessing ergonomics and psychosocial working conditions. They
are used to determine qualitatively the conditions of the workstation or a worker’s
activities that could contribute to an injury.
• The specific (or quantitative) ergonomic methods make an objective assessment of

the ergonomics conditions of a workplace. The goal of these methods is to identify
ergonomic risk factors, quantify them, and then make measurable improvements in
the workplace. There are many methods, normally classified depending on the
physical strain (or the type of task) to be assessed: load handling, postures, repet-
itiveness, etc. The NIOSH equation [14], REBA [15], ERGO-IBV [16] or OCRA
Index [17] are examples of quantitative methods.
Both checklist and quantitative methods are normally addressed to general popu-
lation, so they don’t consider that some workers (e.g.: older workers) can have limited
or different capabilities. In some cases, there are different strategies or recommenda-
tions to adapt these methods to older workers, for example [18]:
• Lowering the “recommended weight limit” to calculate the risk of manual material
handling tasks.
• Adding additional penalty factors to the postures assessment (e.g.: kneeling,
crouching, long-term standing/sitting…).
• Adding a multiplicative corrector of 0.6 to the risk index when the worker affected
is over 50 years.
These approaches, although interesting, are not completely useful, as they don’t
consider the individual capacity. To solve these issues, some methods try to specify
which the work ability of specific individuals is. One of the most known proposals to
do that is the Work Ability Index (WAI) [19].
The work ability index gives an idea of individuals’ perceived work ability and
involves a questionnaire complemented by an interview; it can also provide an indi-
cation of the potential for disability in the future or early retirement. The WAI ques-
tionnaire covers several dimensions of individuals (current work ability, number of
diagnosed illnesses or limiting conditions, own prognosis, etc.).
Each answer has a different score. The minimum total score is 7 (bad work ability),
the maximum is 49 (very good work ability).
The WAI can be used for individual employees and groups of workers. However, it
can also be applied as an analysis tool to the whole company or the whole workforce of
a company. It offers the possibility of comparing individual departments or company
sections as well as individual groups of employees and age groups according to their
WAI values.
Although being widely used, WAI has several disadvantages:
• It is founded on subjective data collected by a self-assessed questionnaire.
• There is no direct comparison between specific demands and specific capacities.
Therefore, it is not possible to locate the exact source of the problems and propose
accurate adaptation measures.
To solve these issues, some ergonomic tools consider that it is necessary to analyse
work and worker features using similar criteria and common assessment levels to
facilitate their comparison and interpretation of results. These are the job matching
methods. The ultimate purpose is to match the worker capacities with the work
requirements, in order to ensure the best possible job placing under given
circumstances.
Job matching methods try to determine the relationship between work demand
(W) and the capacity of a person (P). As shown at Table 1, there are three possible
relations between these two factors:
Table 1. Relation between demand and capacity in job matching methods

Relation Meaning
W=P Ideal
W<P Sub-demand
W>P Over-demand
When discrepancies between demands and capacities appear, and before taking the
final decision about the case, the analyst must consider whether the work demands can
be modified (by decreasing the workload, providing new equipment, adapting the
workflow, etc.) and/or if is possible to improve the worker’s ability (through training,
personal assistive devices, etc.).
Job matching methods are intended mainly for workers with functional limitations:
impaired workers (back-to-work situations, e.g. NedLabor method [20]) or workers
with disabilities (e.g.: IMBA [21], JobFit [22], ErgoDis [11]). Nevertheless, they can
also be used with older workers to identify if there are functional limitations associated
with age that may be causing mismatches with the work requirements.
These are the principles that have guided the development of the “Ergo + 50”
methodology, an ergonomic assessment procedure aimed at detecting working condi-
tions that have a special relationship with the ageing process (ergonomic assessment)
and compare them with the perceived abilities of older workers.
2 Results. The Ergo+50 Methodology
Ergo+50 is an ergonomic assessment tool intended to help with age management in

companies. The tool allows identifying the main working conditions that are related
with age. The methodology includes two interrelated modules that analyse, on the one
hand, the characteristics of tasks and jobs and, on the other hand, the perceived abilities
of older workers, to carry out the tasks. The results obtained include the prioritized
diagnosis of the situation, as well as recommendations for improvement.
The tool is structured in two questionnaires:
• The questionnaire to assess working conditions must be filled out by the company.
It contains items related to the working conditions, the workplace design, the
environment, the task organization and the age management activities.
• The questionnaire for the self-evaluation of older workers’ abilities is individual,
voluntary and confidential. It is filled out by the older workers of the company. It
contains items aimed at the assessment by the staff of their ability to carry out the
work requirements and at the assessment of the measures of the company related to
age management.
Both questionnaires are optional, meaning that it is possible to fill in only one of
them or both. The results and recommendations will be different depending on this
choice.
The tool offers a report for each one of the questionnaires, including recommen-
dations to help controlling the detected risks and, in case of completing both ques-
tionnaires, a report that links the working conditions with the evaluations of the
workers.
The Ergo+50 tool is a module integrated at ErgoIBV [23], a software that allows
evaluating ergonomic and psychosocial risks associated with the job.
2.1 Working Conditions Questionnaire

This questionnaire includes 48 questions structured in the following sections:
• (1) Physical load: Manual material handling & efforts.
• (2) Physical load: Postures and movements.
• (3) Cognitive aspects.
• (4) Workplace design: Anthropometry, space and equipment.
• (5) Vision.
• (6) Hearing.
• (7) Environmental conditions.
• (8) Work organisation.
• (9) Age Management
The first eight sections include questions about the working conditions. The
questions that have been selected include aspects in which there is a greater probability
of age being a risk factor. For example:
• Tasks that require a high and continuous effort.
• Prolonged standing/sitting.
• Exposure to a lot of information and/or stimuli.
• Side reach or reaching behind the body.
• Situations of direct or indirect glares.
• Sound signals and/or noise that can mask important auditory messages.
• Shift work (including night shifts).
• Etc.
The ninth section includes questions about how the company is managing age.
Topics treated here include:
• Health promotion.
• Health surveillance.
• Return-to-work policies.
• Training.
• Hiring and recruitment policies.
• Transition to retirement.
The first eight sections can be addressed to a specific task, workplace or department
and should be filled in by OSH technicians. The ninth section inquire aspects about the
whole company (although could be restricted to specific departments or workplaces)
and should be filled in by managers or human resources’ staff.
All the questions are structured in the form of a checklist, in which any marked
condition implies a potential problem to be solved. Additionally, some questions
include performing simple calculations or an extended questionnaire:
• Manual material handling: calculation of the acceptable mass. The program cal-
culates the acceptable mass by multiplying the recommended theoretical mass,
depending on the handling zone, by a series of correction factors associated with the
vertical displacement of the load, trunk twisting, coupling, duration and frequency
of the handling. Once these data have been entered, the program automatically
displays the value of the acceptable mass. Thus, when the actual mass handled in
the task is higher than the calculated acceptable mass the item should be ticked to
indicate that the risk factor in question exists. The procedure is based on the Spanish
Technical Guide for Manual Material Handling [24].
• Reaches. The program calculates if the reaches that are performed by the worker are
comfortable, forced or not accepted. To do that, reach depth and height (cm) must
be introduced. The calculations distinguish the acceptable reaches for men and
women. The calculations are based on a study to identify the design criteria for the
elderly [25].
• Work tools (extended checklist)
• Working space (extended checklist)
• Lighting levels. The program analyses if lighting levels in the workplace are ade-
quate. To do that, it is necessary to select the type of task and/or the area where the
work is performed and the actual lighting level (in Lux). Calculations are based on
international standards [26].
After completing this questionnaire, the company can obtain a report that includes
the potentially negative items and recommendations for improvement.
2.2 Self-Evaluation of Older Workers’ Abilities

Although the Working Conditions Questionnaire is aimed to detect aspects that are
highly related with age, many conditions will be a real problem depending on the
specific capabilities of the older workers. To find out what capabilities are those, the
Self-evaluation of older workers’ abilities questionnaire can be used.
This questionnaire is individual, voluntary and confidential. It is filled out by the
older workers of the company (or of the specific workplaces or sections that are being
analysed). It contains items aimed at the assessment by the older staff of their ability to
carry out the work requirements and the assessment of the measures of the company
related to age management.
The assessment of own ability to carry out the tasks contains similar items to those
inquired at the working conditions, but in this case each worker has to assess their
perceived capacity to accomplish the requirements. The assessment is done using the
following scale:
• Not applicable = this requirement does not exist in my workplace

• Bad (it’s very hard for me or I cannot)
• Moderate (I can do it, but with problems or discomfort)
• Good (I do not have limitations)
The second part of the questionnaire includes questions so that the worker can
assess the company’s measures related to age management. The questions are similar to
those asked at the working conditions questionnaire. The assessment is done using the
following scale:
• Disagree (these measures are not implemented in the company or, even if they are,
they do not benefit me)
• Neutral (they do not affect or interest me, regardless of whether they have been
implemented or not)
• Agree (the measures have been implemented and benefit me)
After this questionnaire has been fulfilled by the workers, the company can obtain a
report that includes the percentages of perceived capacity of the staff.
2.3 Joint Results

If the two questionnaires have been fulfilled, Ergo+50 software offers the following
results:
• The potentially negative items that have been detected at the working conditions
and recommendations to improve them.
• The percentages of perceived capacity of the staff.
• The relationship between the working conditions and the perceived capacity of the
workers. Here the Ergo+50 tool works can be used as a Job matching method,
allowing the detection of mismatches between requirements and capacities. The
possible results are three:
• MATCH: Working condition is adequate; or working condition is not adequate but
the worker has good capability.
• MODERATE MISMATCH: Working condition is not adequate and the worker has
capacity problems or discomfort.
• HIGH MISMATCH: Working condition is not adequate and the worker has a bad
capacity.
The match/mismatch results are shown as a percentage of the workers that have
fulfilled the questionnaire.
The Ergo+50 tool offers the results ranked depending on the mismatch severity, the
percentage of workers having capacity problems/mismatches and the occurrence of
negative working conditions. Recommendations are provided for each result.
3 Conclusions and Further Work
Ergo+50 is an ergonomic assessment tool intended to help with age management in

companies. This tool merges the ergonomic assessment with the evaluation of the
workers capacities. The combination of both aspects allow detecting the mismatches
between working conditions and workers capacities. The results obtained include the
prioritized diagnosis of the situation, as well as recommendations for improvement.
The tool will be tested in different companies, in order to validate the methodology
used and the results developed. The validation process will allow refining the evalu-
ation procedure and will facilitate the development of new applications and recom-
mendations to help companies managing the ageing of their workers.
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Social Design, Innovation and Ergonomics:
Reflections on Education, Transdisciplinarity
and New Blurred Models for Sustainable
Social Change
Ana Margarida Ferreira1,2(&), Nicos Souleles3, and Stefania Savva3

1
IADE, Universidade Europeia, Av. D. Carlos I, 4, 1200-649 Lisbon, Portugal
ana.margarida.ferreira@universidadeeuropeia.pt
2
UNIDCOM/IADE - Unidade de Investigação em Design e Comunicação,
Av. D. Carlos I, 4, 1200-649 Lisbon, Portugal
3
Art + Design: Elearning Lab, Cyprus University of Technology,
Limassol, Cyprus
{nicos.souleles,stefania.savva}@cut.ac.cy
Abstract. Social innovation is not a new fact, but it has grown in importance
over the last years as a driver for social change [1]. Although there is no
universal definition of it, one widely-used is ‘ideas that are social in their ends
and in their means’ [2] and concerns the process of developing and deploying
new solutions to often systemic and complex social and environmental issues.
On the other hand, social art is seen as any artistic expression that aims at
inspiring social impact and change effectively society through emotionally
captivating experiences [3]. Also, social ergonomics is understood as responses
to social aspects of system use, envisioning, among others, socially proactive
design and discussing the possibilities for embedding new paradigms for
communication and problem-solving in specialized information systems [4].
Based on these ideas, this paper will elaborate on the above concepts, con-
fronting and correlating them as complementary human actions and domains.
Some considerations and challenges on the theme, as outputs of a post-doc
research, will be also offered. It will be shown transdisciplinary approaches,
methods, social actors, and complementary and blurred practices to an effective
and meaningful design and implementation of new products, services, and
systems. Its social, cultural and, educational relevance or holistic understanding
will be underlined as strategies to achieve the sustainability of social systems, to
share social value and promote resilience and wellbeing in a highly complex and
changing world.
Keywords: Social design Social innovation Collaborative learning

Transdisciplinarity Systemic drivers Holistic approach Sustainability
Social change

https://doi.org/10.1007/978-3-030-20145-6_4
38 A. M. Ferreira et al.
1 Introduction
As clear presented in the United Nations’ report: Transforming our World: The 2030
Agenda for Sustainable Development [5], we face nowadays a lot of challenges to
sustainable development. Too much people still live in poverty and do not have a life of
dignity being inequalities and enormous disparities of opportunity, wealth and power
among countries realities in place. Challenges such as gender inequality, youth
unemployment, more frequent global health threats or spiralling conflict and violent
terrorism and, consequent humanitarian crises will question the development progress
made in recent decades. To those, we should add, natural resource depletion and
adverse impacts of environmental degradation, desertification, degradation, water
scarcity or loss of biodiversity. Climate change, as underlined, is one of the greatest
challenges of our time and its adverse impacts undermine how countries will achieve
sustainable development. It is crucial to be aware that the survival of many societies,
and the natural environments and support biotic systems could be at risk.
2 Finding Common Grounds and Crossed Roads

2.1 Social Design, Social Art and Social Ergonomics
It does not exist a unique definition of “social design”. In fact, looking for some
theoretical background, is possible to find three different roots. Firstly, linking it to
action research, community trust building processes and the design ability to build up
community capacities, leadership and promote organizational transformation. Second
line of thoughts linked its origins to participatory design and literature on social
innovation where society as seen as a whole of interconnected parts. In this case,
change comes through small and local studies and is scaled through networks. The
third root is linked to the designers and researchers ideological and practical back-
ground and on its reflection on design projects. Nevertheless, as pointed out by Chen
[6], and reinforced by Souleles [7], the last ten years social design has gained strength
in design research well supported in writings of Papanek [8], Whiteley [9], or Margolin
[10]. It is also worthy of notice the Scandinavia and UK research on the topic, the
Italian movement headed mainly by Manzini [11], the promotion of it by consultancies
as IDEO [12] or the evident relationship between design and the social sciences
exposed by Frascara in his book from 2002 [13].
Social art is seen, on the other hand, as any artistic expression that aims at inspiring
social impact and change through emotionally experiences. In this case, the artist
intention is crucial. Art engages in questioning and rethinking existing systems and
paradigms. For Loeser and Trosien [3], artists are visionaries, utopists, agents for change,
with the ability to affect society by creating unique and emotional experiences, envi-
sioned, from times to times, as aesthetic revolutions that preludes societal transformations
[14]. The artists create impact and inspire change. They positively explore diversity and
promote cultural encounters in and to social wellbeing. As presented by Institute for Art
and Innovation [3], the artists “help to develop the discourse on opportunities to shape a
positive future for the majority of society on many social levels”. It opens up different
Social Design, Innovation and Ergonomics 39
perspectives, identifies alternatives, and establish collaborations between different pro-

fessions and people with a different background to nurture a better world.
Brown and Newman [4] present social ergonomic as the responses to social aspects of
system use. They explore, for instance, the possibilities for embedding new paradigms for
communication and problem-solving in specialized information systems based on social
constraints or opportunities. In fact, looking through a broad lens, we can easily say that
social ergonomists have similar motivations and explored the same subject matters as the
social designers or even artists. Efforts to regulate social interactions, considerations
about personal and collective spaces or how life and work can be better are under the
spectrum of analysis and are designed to create a full human experience [15].
2.2 Social Innovation: Making the Web

In line with was already noticed in relation to social design, social innovation has also
grown in importance over the last years as a driver for social change [1]. Without an
universal definition, is widely understood as presented by Nesta in 2010 as “ideas that
are social in their ends and in their means” [2]. It concerns the process of developing
and deploying new solutions - products, services and models - to systemic and complex
social problems. These solutions meet social needs and create new social relationships
or collaborations. They also enhance society’s capacity to act. The fact that some
existing structures and policies have not been able to address and surpass most of the
current or emerging challenges of our time makes it even more relevant. A pertinent
aspect of it was underlined by Young Foundation and Mulgan [16], reinforcing the idea
that it is dual by nature. It gets better ways to meet human needs and, simultaneously,
has interest in strengthening bonds of commitment and solidarity.
In what concerns social innovation research, it has gone through significant
developments in the last two decades. Theory building, case-study analysis, action
research, improvement of empirical research methodology, reflections on epistemo-
logical viewpoints, are worthy of notice and reinforce the importance of it, by practical
reasons, to societal players and innovators [17].
All these developments made possible to understand it as a “pragmatic approach”,
as called by Mulgan, or as a “systemic approach”, according to Waterloo Institute for
Social Innovation and Resilience [2]. In this last view, social innovation is closely
connected to the concept of “resilience”, since radical encouraged changes contribute to
adjust existing systems to the emergence of new needs, preventing them from col-
lapsing under complex and fast changing realities. Along with new frames, its char-
acteristics of multi-disciplinarily, cross-sectorality and multi-dimensionality and
practical vocation, make social innovation a “fuzzy” concept particularly interesting as
a bridge between theory and practice, which also explains why it is often very effective
in informing policy-making.
According to Murray et al. [2], four key elements are to be found in most social
innovation practices: (a) need-driven or outcome-oriented production; (b) open process
of co-creation or collaborative innovation networks; (c) fundamental change in the
relationships between stakeholders and; (d) public value allocation and/or reallocation.
Furthermore, it should scale as any successful innovations and brings about systemic
change over time. This process, so-called spiral of social innovation, can been seen in
the Fig. 1 below.
Fig. 1. Spiral of social innovation [18].
3 Stimulating Creativity and Social Innovation by Cross-

Fertilization of Knowledge
As presented, we are facing today extra and complex problems. That means that
innovative practices and human actions must change in order to adapt to the new
emergent realities [19]. Innovation, differently from invention, means invention
implemented, taken to market and diffused on social systems, sometimes times in a
quite disruptive way changing radically the socioeconomic dynamics [20–22].
Nowadays, the landscape has shifted again. Disruptive innovations are transform-
ing society in a lot of different ways and domains – from ever present smart phones to
digital platforms, social media, and big data economy. Technologies such as artificial
intelligence, virtual reality, and smart devices are disrupting economies and societies in
ways not previously experienced [17]. This is also true to driverless transport, auto-
mated production, renewable energy, cloud-based big data, nuclear medicine or private
investment in space exploration. However, as notice by the European Commission, the
benefits of innovation are not distributed equally. 1% of population enjoy increasing
material wealth, life choices and wellbeing, while many others are at risk of losing their
jobs, social standing, and dignity as the result of innovative, mostly radical changes,
with profound societal impact, as we can see in the next table (Table 1).
Table 1. Levels of social innovation [27]

Looking in an evolutionary perspective, society has been able to respond to these

constant challenges and continually reinvent itself in its approaches, methods and tools
to survive and keep healthy [22]. That is the case of the transition from close to open
innovation concept, framed in a new different knowledge landscape with a different
logic and renewed understanding about the sources and uses of ideas. Open Innovation
means that valuable ideas can come from both inside and outside organizations and
have the potential to go to market. This framework places on the same level of
importance external and internal ideas and paths. Naturally, as presented by Ches-
brough [20], the availability and quality of these external ideas change the logic that led
to the formation of the centralized R&D environments linked to closed innovation
paradigm. It also makes us consider new challenges to address in relation to social
dynamics and change as well stated by the European Commission [19]:
“The current innovation dynamic may seem unique to our time, but it is not. Modernity,
through waves of innovation, has always stimulated fantasies of brave new worlds and fears of
social decline and imminent collapse. Radical innovation in technology and economy entails
social transformation: a dramatic process that forces profound changes in the lives of people,
their ideas, values, habits, norms, and institutions. It transforms the world in which we live and
who we are. Without such deep-seated change, there would not be social progress. And it is the
hope in the “happy ending” that gives the strength to endure the discomfort associated with
change. The question to address, then, is what is the happy ending and what is the best path to
reach it?”
Supported in these assumptions, is possible to believe that social innovation can

play an important role in this matter and social innovators have the space to make
visible the social relevance of their critical thinking and practical actions.
3.1 Overcoming the Spiral Model: Social Innovation as a Systemic, Open

and Context Dependent Phenomenon
Although useful, the spiral understanding of social innovation, as previously presented,
does not reflect the complexity and the interconnectedness and systemic nature of the
global challenges that social innovation is called to answer. Furthermore, it does not
consider the fact that innovation is not a linear process. These perceptions are of
importance when reflecting on scaling-up processes of social innovations. In fact, as
marked by some authors, most known initiatives seem stuck in the upper left quadrant
of the social innovation spiral at the prompt, proposal, and prototype stages. That make
emerge and become evident why the systemic approach is a necessary condition. This
paradigm shift means acknowledging that is not possible to intervene on a single
problem or target a specific person or group, without intervening at the same time on
interrelated problems and groups. Likewise, our interventions are likely to be modified
by the actions of other stakeholders and people, while also being affected by ongoing
trends. This line of thoughts is also true for the interconnectedness of innovation
problems, spaces and solutions, possible to notice below at the right side of the Fig. 2.
Fig. 2. Comparing knowledge and action landscapes in closed and open innovations [19].
According to Nesta [2], it is hard to define specific elements, properties, structures

or tools to spark systemic innovations by its intrinsic complexity. Nevertheless, based
on historical evidence, it was possible to notice some recurrent strategies such as the
formation of progressive coalitions that bring together different partners, the intensive
processes to build up shared diagnoses and visions or, among others, the implemen-
tation of legal and regulatory devices to embed change. Based on those evidences,
exists a broad consensus about the need look at social innovation in its systemic and
open dimension to achieve long-lasting and positive impact, answering in an effective
way to the crises and challenges that humanity face in the 21st century.
3.2 Transdisciplinary Approaches, Blurring Boundaries

and Multidimensional Complexity
The aspects related to systemic, open and interdependency of social innovations bring
along another important topic that also must be addressed: the need to transdisciplinary
actions and frameworks. As presented by Madni [23], transdisciplinarity emerged in
the second half of twentieth century in response to the hiper specialization and com-
partmentalization of knowledge, to the globalization of economy, shifts in the
knowledge production centers and, mostly, to the environmental crisis. It has grown
into more than a critique of disciplinarity and emerged as a valid mode of applied
research dealing with real world but wicked problems that need to be understood under
new perspectives and demand innovative and effective solutions to it.
In regarding the educational benefits of transdisciplinarity, we can consider Mac-
donald [25] perspective, as cited in Bernstein’s review [24]:
“transdisciplinarity is as much about the liberal arts, and about cultural symbolisms, as it is
about the so-called social and natural sciences, or professions like medicine, engineering, or
law. What sets transdisciplinarity apart from other approaches and what assures its role in
twenty first-century education is its acceptance of, and its focus on, the inherent complexity of
reality that is seen when one examines a problem or phenomenon from multiple angles and
dimensions with a view toward discovering hidden connections between different disciplines”.
3.3 Collaborative Practices, Networks and Social Learning

Also important to education and methodology-building processes, is looking at con-
crete experiences through case-studies because of the multidimensional role of social
innovation researchers – with questions about the links or boundaries between multi-
ples realities and concerns. As pointed out by NESTA [28], central to this building
processes is the ‘joint’ or social learning process in which different social agents or
networks share their perspectives, expectations and experiences. Through this exercise,
new insights on sources of social innovations, creative strategies and methods to study
experiences and innovations are settled. This interactivity between dimensions of social
innovation and between social innovation agents feeds into the interdisciplinary
character of social innovation practice and research.
4 Going Complex: New a Pool of Memes, Creative

Combinations and Cluster of Innovations
“A novel solution to a social problem that is more effective, efficient, sustainable, or

just than existing solutions and for which the value created accrues primarily to society
as a whole rather than private individuals”.
(Phills et al., 2008, p. 36)
4.1 Toward a Sustainable Social Change?

Economic activity is often considered the driver of social change. This idea is rein-
forced if we link it to the social mission of some organisations. As an example, the
social enterprise sector in the UK employs approximately one million people, in 70,000
organisations, contributing more than £24 billion to the economy. All these organi-
sations are driving social change by means of business. Traditional businesses are also
being aware to the need to deliver both social and financial value as result of customers
demanding of more socially responsible products and services. Yet, many organisations
struggle to balance their social mission with their commercial reality and thus face
challenges sustaining the positive changes they make. still, it is possible to verify the
appearance of hybrid business models that combine business capacities with social
goals.
Three core principles must be found to be align with these goals [28]: (a) Purpose
over profit, having social good over financial return; (b) Personal over professional,
looking internally at how we treat each other and respecting each other’s personality,
beliefs, and life to be possible a sustainable social change and an inclusive organiza-
tion, and, at last but not least; (c) Trust over control to have motivated, driven people.
Moreover, it should happen in all human realms. In fact, social innovations cross all
sectors, from public to non-profit and private organizations and results from bridging
and joining forces of all people that promote it. Policymakers who can help to create
the right conditions, foundations and philanthropists who can fund and support, social
organisations trying to meet social needs more effectively, and social entrepreneurs and
innovators are part of this multidimensional and complex ecology [15] (Fig. 3).
Fig. 3. Social innovators in a multidimensional and complex ecology (authors).
In this ecology, many new forms of collaboration and co-operation are emerging.
These are having profound implications on services and models of collective action. In
many cases, although these supports are not themselves mutual, they provide the
underpinning for mutual exchange and systemic action and change.
4.2 Strategic Spaces, Partnerships, and New Social Dynamics

As already stated, one important conceptualization presents social innovation as a
process of redesigning social relations to maximize productivity and economic
development. Supporting this idea is the assumption that the benefits of these changes
will be shared equally across society and that social entrepreneurship represents the
reconciliation of an historical division between private and public sector mechanisms of
productivity growth. This understanding is linked to systems level of analysis and is
mostly related to a disruptive vision of social innovation, one of the different dimen-
sions of it as presented in Table 2.
Table 2. Dimensions of social innovation [26]

Common to all these processes are a series of complex and multifaceted social
contexts and environments that drive innovation not only in processes and outcomes
but also, increasingly, as boundary blurring activities across the conventional sectors of
society. Each of the three sectors of society – civil society, public and private – has its
own internal logic of action and defining features. Between each of the three ideal-type
points lies a spectrum of hybrid institutions and organizations that represent sites for
social innovation as a boundary-blurring practice.
4.3 Share Spaces, Innovation Hubs, Participatory Actions and Platforms

In this new complex reality and social dynamic, new spaces gain importance. Inno-
vation hubs become spaces and places which bring people together to learn, share, and
collaborate. For most, they are much more than shared work spaces. They are places
where social entrepreneurs, community activists, non-profits, and others, can come
together to share ideas, insights, and experiences, having mutual support. They also
provide economies of scale and scope through sharing associated costs. As the business
models, the streets, public spaces and community centres are redesigned and gain
renewal dimensions as extensions of domestic production and individual-collective
new dynamics in the emergent social economy [11, 28].
In addition to this reality, an interesting study promoted by the European Union, in
2013, entitled “EU Social Platforms: A review on an experiment in collaborative re-
search design” [29] deserved our attention. In it, participatory practices between
researchers and stakeholders from civil society were promoted to work on urgent and
complex socio-economic policy matters. This fact resulted from the awareness that the
spread of the internet has made possible (a) a range of new tools to mobilize people and
energies quickly and effectively and (b) provided an infrastructure to extend the range
and capacity of social movements, including consumer movements, as well as enabling
new forms of collaborative purchasing and management and in and in which all par-
ticipants are engaged as equal in the research or implementation processes [30].
Fig. 4. New skills for the contemporary [31], and social learning and innovators in a social
economy (authors)
As marked by Rocha et al. [31], in the design of these interactive and social
dynamics - materialized in new collaborative tools, processes and environments and set
of skills, the designers and social innovators are of utmost importance and worthy of
notice (Fig. 4).
5 Systemic Innovations and Strategic Actions for Social

Resilience and Wellbeing
To most of us, innovations are seen as changing factors in all sectors of the economy
and the society and important to overcome everyday challenges. On the other hand,
social innovations are deeply connected with the transformation of society, the
improvement of human life and, the fostering of inclusion, wellbeing and a flourishing
society [32].
To achieve these goals, some strategic issues should be considered, as recognized
in ‘the Open Book of Social Innovation’ [2]. It addresses topics such as the linkage of
innovation to strategy, the importance of leaders clearly shows that innovation matters,
the necessity of formation and training to integrate innovation into personal develop-
ment, training, and culture or the need of the user and citizens engagement to the
efficiency of innovative products and practices. Mostly, it underlines the relevance of
learning cultures, the trial and error learning methods and the ability to solve complex
and unforeseen problems that are still to emerge. These considerations were also
emphasized by the OECD, in a recent study about the Higher Education System [33].
Today and for the future, it is possible to social innovators to find clues, strategies
and tools to boost social value and to promote resilience and wellbeing in a highly
complex and changing world. Empathy, social creativity, artistic practices and political
engagement are nourished and are on the way.
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Foundation (2010)
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for Art and Innovation, no. 1, Berlin (2017)
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6. Chen, D.-S., Cheng, L.-L., Hummels, C., Koskinen, I.: Social design: an introduction. Int.
J. Des. 10(1), 1–5 (2015)
7. Souleles, N.: Design for social change and design education: social challenges versus
teacher-centred pedagogies. Des. J. 20(sup1), S927–S936 (2017). https://doi.org/10.1080/
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10. Margolin, V.: Design e Risco de Mudança. [Design and the Risk of Change]. Edições
ESAD, Caldas da Rainha (2014)
11. Manzini, E.: Design When Everybody Designs: An Introduction to Design for Social
Innovation. MIT Press, Cambridge (2015)
12. IDEO: HCD - Human Centered Design Toolkit, 2nd edn. (2011)
13. Frascara, J. (ed.): Design and the Social Sciences: Making Connections. Taylor & Francis,
New York (2002)
14. Ferreira, A.M., Devezas, T., Carvalho-Rodrigues, F.: Modelling a design cycle using an
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school/benchmarking-higher-education-systems-performance.htm
Well-Being Through Design for Dynamic
Diversity: The Voice of Minorities in Design
for All
Marcin Butlewski(&)
Department of Ergonomics and Quality Engineering,

Poznan University of Technology, Strzelecka 11 Street, 60-965 Poznan, Poland
marcin.butlewski@put.poznan.pl
Abstract. Producers and employers are still looking for ways to better
understand the recipients of their services. This ability allows you to build a
competitive advantage and gain or retain the interest of customers and
employees. The dynamics of demographic changes and requirements related to
technological development (including contextual requirements such as sustain-
able development) mean that the existing users’ groups and their needs are also
changing. This results in the need to search for ways to better address technical
features to the needs of individual. The article presents the concept of devel-
oping the Designing for Dynamic Diversity approach in designing for Wellbeing
using similar for Kansei Engineering approach. The article presents the concept
of dynamic adjustment of the user’s environment through the use of feedback
and dynamic changes in work environment. In this way, a method of continuous
improvement is supported, supported by the actual needs of the user. The
problem in this area is to determine the level of dynamics of the technical system
as well as the manner of its responsiveness to the user’s feelings. Due to the
dynamics of demographic processes mentioned above, it was proposed to use
the approach that engages the user in the process of creating a solution - through
an innovative “senior customer” called “Innosumers” (Peine, Rollwagen, Neven
2014). The combination of these concepts allows us to present a holistic
approach to design oriented to human well-being, and at the same time
dynamically responsive.
Keywords: Human factors Mass customisation Systems engineering
1 Introduction
The idea of mass production is not the only way in the pursuit of successful economics
of enterprises. More and more often, enterprises strive for a differently perceived
balance [1], and at the same time they also see the needs of smaller groups of their
product users. In the case of sufficiently modal solutions, thanks to mass customization
approach, almost fully personalized customization can be obtained. However, it
requires recognizing the scope of needs and building a communication system that will
energize the elastic productive structures or the work environment with the necessary
information regarding the individual’s preferences [2]. It is possible if the needs are
recognized and they can be cataloged to a number of solutions in a specific category.

https://doi.org/10.1007/978-3-030-20145-6_5
50 M. Butlewski
The number of combinations of the final product versions rises geometrically with the
number of diversified categories. However, this situation may occur in the case of
conscious choice of specific variants. In the case of many situations (eg work envi-
ronment), the user does not realize what solutions will enable the multi-criteria ergo-
nomic quality of the H-M system to be achieved. The time dimension should also be
added to this consideration. Because the changes of needs do not have only an external
inter-individual character, but occur within the same person during the use of a certain
solution. In the short-term perspective, the factor determining the need for change may
be, for example fatigue or burnout. Additionally technology changes, should be con-
sidered, that create new previously unknown human needs. It can therefore be con-
cluded that dynamic ways of satisfying needs are needed in a dynamic world.
Therefore, we search for methods that support a novel look at the implementation of the
needs of users/employees and ensure that they achieve multi-dimensional well-being.
This effect can be achieved by adopting the Design for Dynamic Diversity paradigm in
a cohortwise cross-analysis of users’ needs. The problem in this respect is both the
scale of differentiation of needs and the dimensions of its provision. This article will
deal with determining the dimensions of differentiation of employees’ needs and the
problems of their dynamic recognition.
2 Well-Being as an Immeasurable Goal of Ergonomic Design
Contemporary and future work systems will be directed at searching for a combination
of factors affecting the employee, in the way that work environment will allow to
maintain homeostasis at many levels of workers functioning. It should be noted,
however, that the employee and user terms will be interchangeable due to the
increasing fuzziness of the work status and phenomenon of coming work environment
closer to home conditions. The pursuit of the multi-criteria goodness of the system of
use requires defining the overriding purpose of designing a work organization such as
well-being. It is not an alternative to previously postulated human effectiveness [3], or
the humanization of work, but rather merges it into a holistic approach. The well-being
criteria are according to different authors [3–8]: Happiness, Satisfaction, Satisfaction
with work, Feeling of fulfillment, Quality of life, Physical health, Mental health,
Emotions, Motivation, achieving purpose, Social life Possibilities, Safety and Security,
Job and nonprofessional satisfaction, Sense of fulfillment, Quality of life, Physical
health, Mental health, Emotions, Motivation, Social life, Opportunities. Achieving
these dimensions of well-being through the organization of work seems to be a utopia.
In particular, if there are going to be common conditions for many different groups of
employees. Therefore, the desired effect of the work system will be the achievement of
well-being by the employee through individualized and dynamic adjustment of the
work environment to a specific unit or group of employees - when individual adjust-
ment is impossible (eg. multi workstation room temperature). A significant part of the
well-being criteria is beyond direct control from the level of the work environment or
product use, however the occurring relationships between factors indicate the need to
highlight those that control will maximize the likelihood of achieving the main goal.
Well-Being Through Design for Dynamic Diversity 51
Through the working conditions, it will be possible to influence general well-being in

successive areas considered to be key in overall well-being.
Verification of the achieved levels of well-being requires the use of battery tests
aimed at the area in which we expect to experience results [9]. The subjective character
of well-being requires tools with psychological characteristics and therefore its appli-
cation in the area of management of working conditions is not obvious and rather
unpractical. It requires adaptation to the applied designable areas and in many cases
takes the form of statements regarding individual dimensions of human functioning in
the structure of, for example an enterprise [10]. However, without the use of a feedback
loop allowing for improvement in low-rated areas and re-evaluation after the lapse of
time, the research carried out has a characteristically philosophical nature. The question
then arises whether well-being can be a measure of the working environment and can
be useful for controlling changes in the organization of work and its environment.
3 Idea of Design for Dynamic Diversity
Idea of Designing for Dynamic Diversity [11] was developed due to the search for a
solution for the problem of “designing for older people”, which was a problem because
previously design for elderly was based on a set of rigid features assigned to a specific
group of users. Meanwhile, the elderly changed significantly with the passage of time
as more users and workers cohort, enter so called autumn of life. Today’s elderly
people, for example, cannot be considered as computer illiterate, as happened a dozen
or so years ago. The idea of Dynamic Diversity assumes the variability in time of the
user’s needs, and hence the need to ensure greater diversity in matching [12], but also
to develop a system for acquiring and applying knowledge in this field - through an
innovative “senior customer” called “Innosumers”. Dynamic Diversity seems to be a
remedy for very frequent treatment of universal design, and so design for all user
groups as axiomatic good [13], without considering the effects of its actual imple-
mentation, defining the quality of use for individual user groups, such as in specific age
groups [14]. Designing for Dynamic Diversity therefore opposes the idea that global
adaptation can be achieved by universalizing the needs and solutions of satisfying
them. Design for Dynamic Differentiation is not oppositional to Universal Design, but
rather complementary [15]. Designing for Dynamic Diversity requires, after applying a
universal design principle, leaving a certain area of controllability of the system, which
could be adjusted dynamically or by the principle of delayed development. This means
that some of the aspects want be they will not be determined until the user begins to
determine the need in a given sphere. The total individualization and making all aspects
of controllable solutions is of course impossible, therefore the effect of using an
individualized or universalized approach should be compared. Based on effect com-
partment proper choice can be made. Due to the considerable variability of possible
project situations, the author did not dare to give one way of acting in the field of
Design for Dynamic Diversity, but there can be indicated some general principles in
this respect [15]:
52 M. Butlewski
1. When designing a work environment or product one should take into account the
variability of users over time, in terms of the available level of resources and the
ability to perform specific functions. The designer should look for features that
differentiate users, but also experiences that will allow for higher ergonomic quality
levels (which is consistent with the approach of ergonomic quality as human-
centred quality). According to ISO/CD 25065:2017 human-centred quality requires
four areas of interest: accessibility, usability, user experience and avoidance of
harm. The user experience is understood as the ability to combine individual user’s
circumstances in achieving specific personal goals with efficiency, performance and
satisfaction in a specific environment
2. Visible features of users such as disability are only theoretical points for catego-
rizing a specific group of abilities. Each user at a particular moment is more or less
or more efficient (or disabled). These conditions change over time and during
lifespan of a product.
3. Needs are not inherent to the observed situations, but only more or less correlated
with them.
4. Each formulated need is a generalization of the distribution of needs in a given
group of users, with a smaller group of users the distribution of needs may vary
considerably.
5. Designing a work environment requires a specific approach that is empathetic to the
recipient, which means that it engages it in the process of creating a solution, an
example may be the previously mentioned “Innosumers”.
Due to point 4, it should be noted that solutions will be sought, which in the scope
of the proposed solution will allow for dynamic adaptation of the work environment
characteristics to the individualized needs of small groups or individual users. As part
of the verification of results does not interfere with the work process, nor does it
excessively interfere with the privacy of the employee. Therefore, two groups of
variables have been proposed, designated in Fig. 1 as PAH and PWE.
Control system Decision system Monitoring system

(CS) (DS) (MS)
control
based on
incenƟves
Physical activity and

(PAH)
Health factors Feedback
Worker Performance
Parameters of the work tests
(PWE)
environment factors
Fig. 1. The system of controlling the factors of the work environment and employee’s activity
As already mentioned, the work environment adopted in the diagram does not mean
that the application of the proposed system is limited to professional applications.
Currently, in the era of ubiquitous digitization and implementation of the Industry 4.0
idea, the work environment and outside of work will increasingly come closer to each
other. PWE can be understand as general environmental factors.
4 Control Categories in Dynamic Diversity for Well-Being
While designing the working environment for a significant part of the factors
responsible for the well-being of the employees, the seemingly designer has no impact,
but indirectly this impact will be present. Due to ergonomic factors, the attitudes of
employees will be shaped both in the sphere of occupational activities [16] and
behavioral resulting for example in biomechanical burden [17]. The level of influence
of voluntary factors such as content and scope of performed tasks will be the physical
impact of the working environment, and thus the employee’s projectable environment.
While the factors of the impact of work on people are known [18], the indirect impact
of the work environment on the perceived severity of work can be very diverse. Hence
the need for dynamic differentiation in the pursuit of well-being.
When preparing a list of measurable factors that can be an element of the employee
well-being management system, WELL Performance Verification Guidebook version
2018 was used (Table 1).
However, the well-being of employees includes a much greater number of factors
that can be influenced by the work space, such as the equipment used, which will
determine the way the work is carried out. For this reason, it is important to look for
such solutions that will strengthen the pro-well-being behavior of the employee, as well
as eliminate those that are not recommended. Therefore, the factors related to the
employee’s activity should also be analyzed. They are presented in the table below and
categorized in two groups: related to the biomechanical scheme and physical activity of
the employee (Table 2).
The second category of factors, which are measurable and controllable anthro-
pogenic factors of well-being are much more difficult to assess and control. The
existing norms in this area and especially in the range of minimum recommended
values are of a very general nature, therefore, any recommendations should be adapted
to individual and dynamically changing needs. Most ergonomic schemes refer to the
upper recommended load limits, whereas underload as a factor of ergonomic risk only
takes on importance as the situation in which employees and users are forced to remain
static (work at the computer or machine). A significant problem of the proposed
approach is to provide a non-interfering way to verify the impact of individual factors
on the resulting signs of employee well-being. Well-being will be available to a large
extent through the employee’s activity.
54 M. Butlewski
Table 1. Measurable and controllable factors of well-being in the field of material working
environment (independent of the employee)
Category Measured factors Requirements and measurement Feedback
problems
Air PM2.5, PM10, Formaldehyde and According to the Well standard - Medical
other VOCs, Carbon monoxide, depends on the number of floors conditions
Ozone, Nitrogen dioxide, Radon and space Feeling short
of breath
Light Visual Lighting Measurement on work surfaces - Performance
Circadian Lighting difficult to do because of Fitness tests
interference with working means Psychomotor
In the case of Circadian Lighting, Vigilance
the measurement in the anticipated Test (PVT)
working space near the eyes of the The
employee (the meter integrated Karolinska
with the glasses) Sleepiness
Scale (KSS)
Microclimate Dry-bulb Temperature Measurement in the surroundings Scale of
Mean Radiant Temperature of the work area of workers, at thermal
Relative Humidity several heights, a problem comfort
primarily at many measuring Bedford
points - measurement by multiple ASHRAE
meters or at different time points
Acoustics Exterior Noise Intrusion (dBA) As above - many measuring
Internally Generated Noise (NC or points, the need to empty internal
NR) noise from the external (effective
Background Noise Levels impact of HCAC) - various test
Speech Privacy Potential conditions
(SPP) and Noise Isolation Class
(NIC)
Table 2. Measurable and controllable anthropogenic factors of well-being (depending on the

employee)
Category Measured Requirements and measurement problems Feedback
factors
Biomechanics Positions at Performing measurements in a non-obstructing Muscle and
work manner, non-invasive and aggregating results to skeletal
Repeatability indicators that allow you to apply complaints
of movement
Exerted
forces
Physical Energy These measurements require an instrument worn Accelerometers
activity expenditure by the user or limited area of his/her observation and biofeedback
Time to sit Pulse rate
Daily balance
of steps
5 Conclusions
The general design framework presented in the article for dynamic diversification in
order to build welfare systems requires the assumption of not taking into account non-
occupational factors affecting well-being. This is due to both the complexity of
interactions and the difficult quantification of individual factors such as food intake,
sleep quality or non-professional physical activity on well-being as well as the prag-
matism of designing working conditions. Due to the application of the system in actual
implementations, information that would significantly harm the privacy of the user
should not be collected. Nevertheless, as purposeful implementations, systems powered
by such data will certainly arise.
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Towards an Expert System for Assigning
Optimal Workplaces to Workers
with Disabilities
Gregor Harih1(&) and Nataša Vujica-Herzog2

1
Laboratory for Intelligent CAD Systems, Faculty of Mechanical Engineering,
University of Maribor, Smetanova ulica 17, 2000 Maribor, Slovenia
gregor.harih@um.si
2
Laboratory for Productions and Operations Management,
Faculty of Mechanical Engineering, University of Maribor, Smetanova ulica 17,
2000 Maribor, Slovenia
natasa.vujica@um.si
Abstract. Data shows that workers with disabilities are still lagging in
employment rates compared to healthy workforce. They report high job inse-
curity, are less likely to receive employer-based benefits, are more likely to be
laid off and are also more likely to work in part-time jobs. Since many com-
panies do not employ ergonomists, employers have a problem to identify a
suitable workplace, yet alone to propose the needed accommodations. To mit-
igate these problems, we developed a decision support system that aids in the
whole process of categorizing and identifying disabilities of workers and assigns
a suitable workplace in an integrated work environment inside the company to
ensure high safety, productivity and satisfaction of workers and employers.
Keywords: Decision support system Occupational ergonomics Disability
1 Introduction
Socio-economic welfare of every adult individual is highly dependent on employment

[1]. Unemployed individuals are usually excluded from several important activities
impacting mental health and defining a healthy relationship with a social group [2]. The
barrier is even higher for unemployed people with disabilities [3, 4]. Throughout
history, before lying the legislative groundwork, employers would rarely employ
people with disabilities at important workplaces in the company.
It has been shown that people with disabilities report high job insecurity, are less
likely to receive employer-based benefits and are more likely to be laid off [5, 6].
Studies have shown that workers with disabilities are more likely to work in part-time
jobs, which often provides low paid work and also does not allow flexible hours [7].
All this leads to low job satisfaction among workers with disabilities [8].
It has been shown that 23,5% of workforce in the EU-27 region have some kind of
chronic illness and 19% have long-lasting illness [9]. Workers older than 55 years
show the highest prevalence of disabilities. Data also shows there is no difference in

https://doi.org/10.1007/978-3-030-20145-6_6
58 G. Harih and N. Vujica-Herzog
prevalence rates between males and females [10]. Most common reported disabilities
are back and neck problems, followed by heart problems, blood pressure and finally leg
and feet problems. Around 50% acquired their disability outside the work environment,
17% of people were born with the disability and 18% had work-related injuries or
disorders [10]. Authors have also reported that severity of disabilities has also great
impact on the rate of employment [11].
People with disabilities may show a wide range of different physical and also
mental impairments, where some of them are not obvious and sometimes even the
worker is not aware of his disability [12]. This makes identifying and categorizing the
disabilities extremely hard even with trained medical personnel and standardized
classification methods [1].
Employers in EU members must according to the Directive 89/654/EEC provide
minimum health and safety requirements for the workplace and the needed changes to
be suitable for workers with disabilities [13]. They must provide reasonable accom-
modation according the disabilities of the specific worker. Since many companies do
not employ ergonomists, responsible persons in the human resources department do not
know which workplace position is suitable for workers with disabilities, yet alone the
needed accommodations to provide maximum safety, comfort and performance.
Therefore, many of the workers with disabilities do not get the job despite having a
successful job interview.
These workers with disabilities that get the job, are most likely to be put into
segregated work environments, where they work together and are usually supervised by
workers without disabilities [14]. It has been also shown that this model of employment
assumes that the workers with disabilities are less productive and therefore they also
usually get lower wages. Isolation also increases the work dissatisfaction between
workers with disabilities. They also do not have any options for promotion to advance
from sheltered work environment, which makes them to rely on additional government
funding. This consequently lowers the productivity confirming the initial employers
beliefs [15]. In order to increase the employment rates of workers with disabilities and
increase the productivity a supported integrated employment model has emerged,
where workers with disabilities are assisted during the job search, training and assis-
tance during employment with individual support and needed accommodations: This
kind of employment model also usually results in competitive wages and higher worker
satisfaction [16]. A upgraded version has gotten traction in recent years in form of
customized employment model [17]. The employment relationship is customized for
everyone based on the needs, strengths, aspiration, skills and interests of the person
with disability. Workers with disabilities receive support and are placed in competitive
workplaces which fit their individual needs. Previous research has shown such inte-
grated employment model shows positive employment outcomes for workers with
disabilities [16, 17]. However, it has been shown that there are numerous challenges in
finding a suitable workplace according to the disabilities of the worker and provide the
needed accommodations.
To overcome the limitations in employment of workers with disabilities as outlined
above, the aim of this research was to develop a decision support system that would aid
in the whole process of categorizing and identifying disabilities of workers and assign
Towards an Expert System for Assigning Optimal Workplaces 59
the most suitable workplace with needed accommodations in an integrated work

environment to ensure high safety, productivity and satisfaction.
2 Methods
Decision support system for designing and assigning ergonomics workplaces to

workers with disabilities has been developed in such manner that it shows users the
following informations:
• Which workers with disabilities from database could perform selected work,
• Which workplaces from the database are suitable for these workers,
• The number of workers with disabilities according to the selected criteria.
Decision support system has been designed modularly, which allows for trans-
parency and easy updatability (Fig. 1). Each module and its purpose are described in
following.
Fig. 1. Schematics of the modules of the decision support system.
2.1 Module for Classification of Disabilities

The aim of this module is to classify workers with disabilities regarding their health
problems and restrictions. Since workplace design is specific for different working
environments, in our research we focused on working environments where mostly
manual work is present (e.g. manual handling in assembly) and create classification
related to this type of work. The International Classification of Functioning, Disability
and Health (ICF) or The International Statistical Classification of Diseases and Related
Health Problems (ICD) proved to be too broad regarding the working environment,
therefore for testing the developed decision support system a simpler classification has
been developed as outlined later in manuscript.
2.2 Database of Workers with Disabilities

The database of workers with disabilities has been designed with updatability in terms
of number of workers with disability and criteria, which categorizes them according to
workplace suitability. The database allows input of worker serial number, which
anonymizes them to the decision support user. This way their privacy is maintained,
which should not bias the end results. Afterwards, the database provides an option to
add a descriptive information of the disabilities of the workers, which are usually
provided by the medical specialist or the disability committee. Based on this infor-
mation, the system operator needs to determine as many disability restriction such as
working hours, type of work (sitting, alternately sitting and standing, no work on
heights, without forced posture,…), lifting restrictions (max 5 kg, 10 kg,…), restric-
tions on mobility (lumbar spine area, shoulder joint, hand joints,…) and other non-
categorized restrictions (no aerosol exposure, no conveyor belt type work, no vibration
tools, sight and hearing restrictions, without working norm,…) from a dropdown menu
(Fig. 2).
Fig. 2. Database of workers and determination of restrictions based on their disabilities.

2.3 Database of Workplaces with Restrictions

Workplaces need to be designed according to ergonomic recommendations from the
beginning to ensure safety, high performance of the system and worker satisfaction.
Many of the production companies also have internal standards and suppliers, which
limits the possibilities to improve the ergonomic value of the workplaces. In this regard
companies should validate their design using well established methods such as RULA,
OWAS, etc. inside virtual environment (Fig. 3). Using these methods, design mistakes
can be identified and mitigated even before the workplace has been set up.
Fig. 3. Validation of workplace with a healthy worker using OWAS and Jack 8.4.
Another problem is that widely known ergonomics methods such as RULA,

OWAS and others do not forecast use for workers with disabilities. The same situation
is with program packages that use digital human models for workers movement sim-
ulation and analysis. This is a great defectiveness of all existing methods, which shows
that development of our decision support system is a step in right direction.
The module Database of workplaces with restrictions allows to input type of work
(insertion/assembly, screwing, quality control…), the name of the workplace and
restrictions, which must be considered for that workplace. Restrictions are classified
into three categories: type of work (no height work, not set, etc.), mobility restrictions
(hand joints, neck, simple work, not set) and other restrictions (no motor vehicle,
hearing and sight impairments, no aerosols, no vibration tools, not set) (Fig. 4).
2.4 Module for Assigning the Most Suitable Workplace

The essence of decision support activities can be summarized in three steps:
Step 1. Decision support system first checks the restrictions from the database of
workplaces that are acceptable for selected type of work and the values are extracted in
separate table. Program code in this first step compares the cell value (in text form)
from the list of work type with the text values in workplaces database (IF function). For
corresponded values, the acceptable restrictions are extracted in separate table.
Fig. 4. Database of workplaces with restrictions.
Step 2. Regarding to these acceptable restrictions, the next code checks if worker
has prescribed acceptable restrictions from three main groups (IF function with pre-
liminary condition AND and OR). OR function checks acceptable restrictions within
single group of restrictions and function AND checks upon all three main groups (type
of work, mobility restrictions and other non-categorized restrictions).
If the combination of restrictions, that individual worker has, correspond with
acceptable restrictions for selected type of work, the program code allocates the
attribute value (suggested type of work) regarding the selected type of work.
Step 3. In third step the program provides a list of suitable workers (anonymous)
presented with successive numbers. After that, a list of suitable workplaces for these
workers is generated. Function IF checks correspondence of values “selection of work
type” in decision support system and in database “workplaces”. For corresponding
values, the workplaces are extracted that were written by selected type of work.
2.5 Statistics Module

This module performs relevant statistical analyses automatically. It provides the
information regarding which disabilities are more prevalent. In current form, it allows
to show the restrictions in form of working hours, type of work, lifting/pushing
restrictions, mobility restrictions and other restrictions (Fig. 5).
The statistics module also allows to search and check for various combinations of
restrictions. The module searches and presents affected workers and shows the number
of those workers and percentage compared to the whole population of the workers with
disabilities (Fig. 6).
Fig. 5. Statistics in form of charts.
Fig. 6. Module for searching combinations of restrictions.

All modules of decision support system are interrelated. Results gained in statistics
module can serve as the input data to update e.g. classification module.
3 Results and Discussion
It has been shown that employment rates of workers with disabilities are still lagging
the healthy workers. Employers still think workers with disabilities are less capable and
are therefore excluded from an integrated workplace. Legislation in most modern
countries requires that employers design their workplaces to ensure health and safety
for all workers while providing equal treatment for people with disabilities. Later group
is especially vulnerable, since they mostly need additional adjustments to ensure health
and safety. It has been shown that correct adjustments provide basis for increased
productivity and satisfaction among workers with disabilities. However, data shows
that there is still huge difference in terms of employment of healthy workers and
workers with disabilities.
Employers are therefore faced with a complex task of finding a suitable workplace,
yet alone to propose suitable adjustments. Most small to medium companies do not
employ ergonomists, therefore they do not present the needed knowledge and expe-
rience to be able to perform such safety analysis and workplace adjustments. Data
shows that most of the workers are then put into a segregated workplace with other
workers with disabilities, which has negative influence on the mental health of the
workers in terms of perception, which also lowers the productivity. Additional problem
presents also the classification of disabilities, which different countries tackle in dif-
ferent manner. Usually, the final decision of restrictions or limitations is not according
to a standardized classification, however it is descriptive, which makes it even harder
for non-specialists to deal with.
The result is presented decision support system, which has great potential to mit-
igate these problems, since it enables assigning most suitable workplaces to workers
with disabilities even with unexperienced users. The structure of the system and its
integrated logics provides simple user experience, which is straightforward and
understandable to non-specialists. Users are guided from each module to the other and
simple entry fields and dropdown menus allow to enter all needed data to run the
program.
With the statistics module, the user gets a powerful tool for analyzing the current
situation regarding the disabilities of the workers with disabilities. It also allows to
present annual reports in form of trends. It provides crucial information which dis-
abilities are more prevalent and thereby helps the designers of future and existing
workplaces what adjustments need to be undertaken to accommodate most of the
workers with disabilities. The analysis of the statistics results can also provide infor-
mation, which are needed for a custom classification of the disabilities for even better
assignment of the workplaces to workers with disabilities.
The system has been developed as a closed loop system, which allows to utilize the
statistics data and gained knowledge as output, which can be fed back to the input in
form of customized and refined classification of disabilities. In this manner the errors
are reduced, and the system provides even better matchmaking of workplaces to
workers with disabilities. The system has been also designed in such way that it allows
expandability and updatability in terms of disability categorization, workplace
restrictions, logics, etc.
To confirm adequacy of presented decision support system for assigning workplace
to workers with disabilities a case study in a large sized company was also performed.
In large sized companies, problems with incorporating workers with disabilities to
regular practice are more visible than in small companies and systematical approach
can be more evidently tested. From about 3500 employed workers in selected com-
pany, 176 workers with disabilities were considered for testing our decision support
system. The company provided anonymized data of workers with their disabilities in
form of a medical specialist recommendation and decision of the committee for
workers with disabilities. Based on the provided information, each worker has been
assigned a maximum working hours per day, type of work, restrictions regarding lifting
and pushing, mobility restrictions and other non-categorized restrictions. Based on
provided information, the program already recommends a general workplace type such
as insertion/assembly, screwing, quality control, etc. Afterwards the relevant work-
places have been input into the system. For each workplace type of workplace was
determined (insertion/assembly, screwing, quality control…). After that, acceptable
restrictions according to the specifics of the workplace were added: type of work (no
height work, not set, etc.), mobility restrictions (hand joints, neck, simple work, not set)
and other restrictions (no motor vehicle, hearing and sight impairments, no aerosols, no
vibration tools, not set). Finally, the program was run and it provided a list of suitable
workers, presented with successive numbers, the year of their birth and the number of
workers for selected type of work. A list of suitable workplaces for these workers was
also generated. The matchmaking based on the decision support system has been then
checked manually and it has been confirmed that the decision support system was able
to successfully assign a suitable workplace to each worker with disability.
Future work should also include more comprehensive approach in terms of
workplace assignment. It should also propose needed or recommended changes to
make the workplace even safer and more productive. Additionally, a more compre-
hensive approach to disability classification in terms of standardization should be
undertaken.
4 Conclusion
A modular decision support system for assigning most suitable workplaces to workers
with disabilities has been developed. The system allows a comprehensive approach in
the occupational ergonomics of workers with disabilities. The effectiveness of the
system has been proven based on case study in a medium sized production company,
since the system allowed most suitable assignment of workplaces to workers with
disabilities inside the integrated production environment of the company and proposed
the needed adjustments for increased safety, performance and satisfaction.
Acknowledgments. The authors acknowledge the project (Development of a computational

human hand model for ergonomic product design, Project ID: Z2-8185) was financially sup-
ported by the Slovenian Research Agency.
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Social Design, Innovation
and Ergonomics
Social Art – “Echoes of Machim”
Ana Nolasco(&)
UNIDCOM/IADE, Universidade Europeia, Lisbon, Portugal

analascosapopt@gmail.com
Abstract. Taking the project “Echoes of Machim” by RIGO 23 as a starting

point, I will attempt here to reflect on the meaning of the emergence of practices
which aim to do social good, in both art and design, and on their potential as
agents for the remodelling of society and for social emancipation.
“Echoes of Machim” is a social interaction project directed by RIGO 23 under
the orientation of curator Michelle Kasprzak, in the neighbourhood of Palmeira,
also known as Malvinas, a much-degraded district of the municipality of Câmara
de Lobos, on the island of Madeira. The project attempts to improve the self-
esteem of members of the community through a number of initiatives with a
group of 12 young people with learning difficulties. RIGO 23’s creative process
has in common with social design the fact that it attempts to tackle social
injustice by activating social creativity, thereby feeding the public sphere and
fostering the necessary debate to create new visions of the future.
Keywords: Social art Social design Collaborative practices RIGO 23

Echoes of Machim
1 Introduction
“Echoes of Machim” evokes the folk tale that tells of how Robert Machim – in most
versions of the story an English knight1 – arrived in Madeira before the discovery of
the island by Tristão Vaz Teixeira and João Gonçalves Zarco in 1419. According to the
legend, having fallen in love with an English woman of high birth, Anne d’Arfet, and
facing being forced into a marriage of convenience, he fled with his beloved to Bristol,
from where they hoped to reach France. However, due to their lack of seafaring
experience and the intervention of a storm, their ship ended up in Madeira. Here they
came ashore in a bay that they named “Machico”. Anne d’Arfet died a few days later,
followed by Robert Machim.
RIGO 23 provisionally entitled the project “Echoes of Machim” as a metaphor for
globalisation, an invitation to reflect on this founding myth and its repercussions: “it’s a
kind of revisiting of this first documented wave of globalisation, as a way of com-
menting on the current process of globalisation.” [1]. The ongoing project involves
residents of Palmeira, a very rundown neighbourhood in the parish of Câmara de Lobos
1
The first known text is from the end of the 15th century and claims a written account from one of
João Gonçalves Zarco’s companions as its source material. Many more texts would follow this first
document, each attempting to provide a foundation for the oral tradition [2].

https://doi.org/10.1007/978-3-030-20145-6_7
70 A. Nolasco
on the Island of Madeira, and works with a number of partners, including IHM –
Investimentos Habitacionais da Madeira (Housing Investment Madeira). The neigh-
bourhood was built in the 80s as a solution to the lack of housing affecting many
families, as well as due to problems of poverty, violence and drugs. From then on the
neighbourhood has also been known as “Malvinas”, in reference to the war over the
islands of the same name being fought between the United Kingdom and Argentina at
the time.
Beyond the more universal reflection on globalisation and colonisation that it
proposes – the myth of the explorer and discoverer symbolised by the ship is con-
tradicted by the legend of Machim; the oral tradition undermines the official tradition –
the other guiding principle of the project seeks to improve the self-esteem of those who
live in Palmeira through a number of initiatives, such as the involvement of members of
the community in the renovation of the neighbourhood through the collaborative
creation of murals, the themes for which are not pre-decided but seek to represent the
untold stories of people living in the neighbourhood, and the building of a boat, among
other projects [1].
In this way, considering “Echoes of Machim” as a metaphor for the circumnavi-
gation of the planet – initially maritime, now digital and aeronautical – we will take this
embryonic project as a starting point for the analysis of recent cross-fertilizations
between different practices in art and design which seek to do social good. In this
context, it is important to highlight that I will refrain from commenting on the visual
and textual aspects of the finished pieces of RIGO 23 in this project, which are also an
integral part of his work. Furthermore, I will not be entering into the ontological debate
which is part of all art and which differentiates, in my opinion, the geneses of art and
design. This is partly because, as the project is still ongoing, such an approach would
make no sense, but it is also because my objective here is to focus exclusively on the
collaborative production model that the project proposes, as well as its underlying
dynamics and its conceptual framework, using this analysis as a starting point for a
wider-ranging reflection on the questions raised by the new paradigms of art and design
implicit in these practices.
2 Echoes of Machim
RIGO 23 was born on the island of Madeira, Portugal, in 1966 and moved to San
Francisco in 1985, where he was part of the first generation of the Mission School
artistic movement. He is known on the San Francisco art scene for his large public
murals with eye-catching text and for his strong sense of social responsibility. RIGO
23’s involvement in this project came about through an invitation he received from the
curator Michelle Kasprzak to participate in the initiative, which is part of her PhD at the
Critical Technical Practice Lab of the Madeira Interactive Technologies Institute (M-
ITI) in partnership with the University of Porto, the result of which will be exhibited at
MUDAS – Museu de Arte Contemporânea da Madeira at the end of 2019.
In December 2017, RIGO 23 came to the island of Madeira to meet 12 young people
between the ages of 12 and 15 from Palmeira, all of whom were students with learning
difficulties in the seventh year of basic education at Torre middle school [1]. The group
Social Art – “Echoes of Machim” 71
of young people visited M-ITI on two occasions, as well as RIGO 23’s mother’s house.
Here the artist showed them his mother’s embroidery and the place where he grew up,
and the youngsters also opened their houses to him. In May, the group of teenagers went
on a trip on a replica of Christopher Columbus’ ship, the Santa Maria, with RIGO 23,
Michelle Kasprzak and Jorge Oliveira, who built the ship between 1997 and 1998. The
master shipwright known locally as “Bailinha”, who is also a member of the Palmeira
community, explained to them how the vessel was made [1].
During one of the meetings with RIGO 23 at the beginning of the project, a small
mural was painted in Palmeira with the group of teenagers, making for the only splash
of colour in the grey and delipidated neighbourhood. After several years of thwarted
hopes, in June 2018, with European, legislative and regional elections approaching
along with the commemoration of the 600th anniversary of the discovery of the Madeira
archipelago, which will take place in 2019, IHM – Investimentos Habitacionais da
Madeira (Housing Investment Madeira), a public agency linked to the regional gov-
ernment of Madeira, finally began renovation works in the neighbourhood. Nonethe-
less, when I visited Palmeira in October 2018, I was shocked by the level of disrepair,
despite the fact that there are similar neighbourhoods in Lisbon, where I live. The
community is like a completely separate world from the rest of the island and the
difficult lives of its residents are reflected in their faces. But despite the neighbour-
hood’s neglected and dirty aspect, which is regarded with scorn by the residents
themselves, I noticed that the little blue mural had been preserved immaculately. This is
proof of the pride that the young people take in having participated in the project with
RIGO 23, a well-known figure in the community even among those who know little of
the art world, serving as an example of someone who emigrated, like so many others,
and made a success of his life in the USA.
The valorisation of positive role models from within the community itself – such as
“Bailinha”, who shared his experience and knowledge with the teenagers, or the col-
laborative creation of murals – contradicts the messages conveyed by the media about
the neighbourhood, messages which only serve to perpetuate stereotypes and segre-
gation. The timing of the project’s implementation conveniently coincides with the year
of the commemoration of the 600th anniversary of the discovery of the archipelago. The
exposition of the dark side of the touristic paradise of Madeira through the visibility
that this fortuitous timing gives to the project should hopefully put pressure on insti-
tutions to undertake the complete rehabilitation of the neighbourhood and improve its
living conditions.
Collaborations with people from outside of the world of art, especially minorities
with no political representation, have been a constant in RIGO 23’s creative process
since the turn of the millennium. Sometimes these collaborations are extended over a
period of decades, as is the case of the artist’s creative partnership with Leonard Peltier,
a Native American activist and member of the American Indian Movement who has
been incarcerated for the last 41 years. This collaboration has continued for almost two
decades, during which RIGO 23 organised the Taté Wikikuwa museum, a touring
exhibition and installation which pays tribute to Peltier and has been shown in a
number of different locations since 1999. The pop-up museum of Peltier’s paintings
also features artisanal pieces made by the Oglala subtribe of the Lakota people, as well
as documents, books, various other writings and educational materials.
72 A. Nolasco
RIGO 23 has also been collaborating with former Black Panther Robert King since
his release from prison in 2001, having, in his own words, “been listening to, traveling
and dialoguing with, and occasionally making art for and with Robert King” [3]. RIGO
23 identifies King with the turning point in his own artistic practice towards total
collaboration and claims that he was inspired by King’s description of his supporters as
“justice-loving people” [4].
Although RIGO 23 orientates the process, in most cases those involved participate
in the final decision about what the collaboration will entail, as is the case with Teko
Mbarate: Struggle for Life (2005–2008) and Autonomous InterGalactic Space Program
(2009–2012). Teko Mbarate: Struggle for Life was the result of six journeys under-
taken by RIGO 23 to Brazil from 2005 to 2008, where, as stated on the project’s
website, he established “strong connections with three local communities: the Guaraní
community of Pindoty, an indigenous community; the Quilombola communities of
Ivaporunduva and Sapatú, founded hundreds of years ago by escaped and freed slaves;
and the Caiçara Community of Itacuruçá, a fishing village near São Paulo” [5]. This
collaboration with local craftsmen led to the construction of two sculptures using
traditional techniques and methods. As a starting point, RIGO 23 chose objects which
he thought were as far removed as possible from local ways of life: the blueprints of an
American Ohio-class ballistic missile submarine and information about a CBU-94
cluster bomb [5]. After lengthy negotiations and discussions with the communities in
Brazil, RIGO 23 and the local artisans built their own versions of these advanced
weapons systems, which were thereby transformed from symbols of “death” into
commemorations of life and were later presented as part of a diorama and hung from
the ceilings of the museums of Berkeley and San Diego [5].
Autonomous InterGalactic Space Program is the result of an interdisciplinary
collaboration with weavers, seamstresses, painters, carpenters and cultural activists in
Chiapas, Mexico, which took place over the course of ten visits in three years, during
which the artist had numerous conversations with indigenous craftsmen and the
autonomous government of Chiapas [3]. What began as a submarine was transformed
through a process of co-creation into an installation featuring a rocket covered in
Zapatista symbols designed by a Zapatista artist, surrounded by small paintings and
tapestries, sculptures of the sun and the moon, and videos of marches and Zapatista
women sewing [3].
Since the turn of the millennium, countless social projects that include collaborative
practices have been undertaken, although the level of participation of those involved
and the degree of responsibility of these participants varies. Proof of this trend can be
found in the Living as Form project created by Creative Time, which is a digital archive
of 350 social projects undertaken in various areas around the world between 1991 and
2011. Many of these projects are situated at the border between art and design, as will
be demonstrated by the projects that I compare in the next chapter, seeking to reflect on
the emergence of these practices and the ways in which they could contribute to the
development of social creativity in a sustainable manner.
3 The Emergence of Artistic Practices Which Aim to Change

Society for the Better
Although it is often neglected, social sustainability is also an essential pillar of eco-

nomic and ecological sustainability. Indeed, the UN’s Agenda for 2030 recognises the
link between sustainable development and processes which take place in the economic,
social and environmental sectors, declaring as its twelfth objective to guarantee sus-
tainable production and consumption patterns. In this regard, Manzini highlights the
importance of the strengthening of the social fabric in ensuring humanity’s capacity to
face the risk society that it is moving towards, adding that “We can summarize these
observations by saying that social resilience requires the existence of groups of people
who interact and collaborate in a physical context. Proximity and relationship with a
place are what enable these people to self-organize and solve problems in a crisis” [6].
In parallel to the movement of homogenisation and uniformization enacted by
globalisation, a counter current characterised by a return to local communities, ethnic
identity and singularity has surfaced [7].
In this context, since the beginning of the millennium, there has been an intensi-
fication in the number of art and design projects which seek to do social good. In the art
world these practices were given a range of different names, some of the best-known
being new genre public art [8], relational art [9], dialogical art [10] and participatory art
(the history of which was famously outlined and summarised by Claire Bishop, 2012
[11].
The principal characteristics of these practices have remained the same since they
were defined as “New Genre Public Art” by Lacy [8]. As noted by Kwon [12], that
which Lacy designated as “New Genre Public Art” “[…] shifts the focus from artist to
audience, from object to process, from production to reception, and emphasizes the
importance of a direct, apparently unmediated engagement with particular audience
groups (ideally through shared authorship in collaborations)” [12]. Bourriaud in turn,
defines relational art as art which uses interpersonal relationships as materials to create
situations, “micro-utopias”, emphasising the role of art as an encounter [9].
Generally speaking, all of these authors highlight the shift in focus from object to
project, from the site-specific to the issue-specific [12]. In my opinion, however, the
main issue thrown into focus by these practices is the question raised around art’s
evaluation criteria and discourses of legitimisation, as epitomised by the firm opposi-
tion seen between Grant Kester and Claire Bishop. Kester defines dialogical art as “a
kind of conversation”, basing his definition on the works of Bakhtin [10] and giving as
one example among others, Wochenklausur’s Intervention to Aid Drug-Addicted
Women (1994, Zurich). This project involved the organisation of discussions on a
docked boat between those who were dealing with the situation and resulted in the
establishment of a shelter for the women. While Kester evaluates the projects above all
in terms of their social effects and the collaborative production models that they pro-
pose (one of his criteria is if the collaborators are paid or not, for example), Bishop
criticises the use of ethical, rather than formal, criteria to evaluate art, arguing that the
best intentions of good Samaritans “push us toward a Platonic regime in which art is
74 A. Nolasco
valued for its truthfulness and educational efficacy rather than for inviting us (…) to
confront darker, more painfully complicated considerations of our predicament” [13].
Since the turn of the century, various other movements have emerged from within
this vein of design set on social change, a vein which conceives of design not as the
shaper of objects but as the art of creating nexuses that unite people, of facilitating
possibilities. We can see the roots of these movements – beyond Victor Papanek, the
“father” of social design [14] – in participatory design – currently often described as
“co-design” – which traces its origins back to Scandinavian experiments in “workplace
democracy” in the 1970s, experiments which encouraged the participation of workers
in decision making.
Currently, as well as participatory design, a wide range of different terms associated
with collaborative practices are in use, including co-design, co-creation, social design,
and design for social innovation, the definitions of which often overlap, with some
authors using the first three terms as synonyms [15]. However, in its strictest sense, co-
design is a design process which involves all stakeholders at all times, including people
who are not trained in design [16]. In this respect it differs from participatory design,
where collaborative work can be a single step in a longer process where the final
decision ultimately rests with a designer. In turn, Manzini’s notion of “social inno-
vation” [17] differentiates itself from social design in that it covers the whole social
spectrum and not only those who are most disadvantaged and marginalised. Seeing as
the role of the designer in these practices is to invert his/her gaze in an attempt to work
out what the best assets of each participant are in order to create an environment in
which these can develop, everybody is a potential advantage to the project.
In both art and design, the majority of the projects aiming to do social good
combine various characteristics from these different definitions, and the projects that I
will be examining are examples of this tendency.
Detroit’s Museum of Contemporary Art is currently in the process of finishing
“Mobile Homestead”, a monument to the late Mike Kelley, who died in 2012. The
monument is a recreation of Kelley’s childhood home, but it does not contain any of his
artwork, rather it offers food, educational programmes and other social services.
In 2012, artist Rachel G. Barnard founded Young New Yorkers (YNY), a pro-
gramme which seeks to help rehabilitate teenagers tried as adults in criminal courts
through art. As the artist’s website explains, “teens sentenced to YNY use art to
become advocates for themselves and for criminal legal reform. Each program cul-
minates in a participant-led public art project that addresses a criminal legal issue of
their choice.” “To date over 600 young people have been sentenced to make art at YNY
instead of jail or other adult sanctions” [18], the site continues.
Miguel Luciano’s DREAMer Kites (2013) was a public art project which aimed to
raise awareness and mobilise people to support the DREAM Act, as well as wider
immigration reform. Various young undocumented activists created large-scale hand-
made kites featuring life-sized self-portraits and flew them in the National Mall, letting
the images loom over the skies of New York.
The central idea of Gregory Sale’s Future Ids (2016-present) is to encourage citizens
undergoing rehabilitation to create new ID cards for their future selves and includes
workshops and exhibitions, among other events. The project’s website explains that it
“was designed in collaboration with members of the Anti-Recidivism Coalition
(ARC) whose members share their turnaround stories with elected officials to convince
them that rehabilitation is possible, leading to more humane sentencing laws” [19].
The Makeright project by Lorraine Gamman and Adam Thorpe sought to develop
prison inmates’ capacity for empathy, communication and collaboration by teaching
them design methods [20]. The initiative was first launched in HM Prison Thameside,
London (UK) in 2015 and was later reproduced in India’s Sabarmati Central Jail in
2016. To avoid negative connotations with traditional prison education programmes,
the sessions were carried out in a workshop, a fact which also gave a pretext for
remuneration [6]. The idea was to help the inmates makes bags, using principles of
design thinking which could be useful for them in their future lives. The process was
planned in such a way as to give the participants the chance to use the knowledge they
had gained through their contact with marginal society as an advantage, the objective
being to make an anti-theft bag. The designers highlighted that they wanted to learn
from the inmates as they knew how to “apply human-centered and behavioral insights
using an understanding of human psychology that many designers would benefit from
emulating,” further stating that they wanted to understand the similarities between the
populations of prisons and art schools, considering their greater propensity for taking
risks, for example [20]. At the end of the programme, an exhibition was organised to
which other prisoners and family members were invited [20]. The bags are currently
being sold with profits from sales in the UK going to national healthcare charity Sue
Ryder. One of the conclusions of the project’s promoters is that the initiative could
have been more effective had it been complemented with the use of similar spaces
outside of the prison in order to allow for gradual social reintegration [20].
The Ecobox project was launched by French collective Atelier d’Architecture
Autogérée (AAA) and operated from 2001 to 2005 in a suburb in the North of Paris
with a number of social problems, including drug use and unemplyment. The project
invited residents to participate in the design of a series of gardens using recycled
material, as well as facilities for meetings and spaces for play and gatherings. Around
the garden was built a wall with holes which limit voyeuristic gazes, thereby inverting
the regime of visibility to which the residents of the suburb were usually subjected
through security cameras and the police, a regime which consolidates unequal power
relations.
All of these projects are based around democratic models, tending to do away with
the hierarchy between specialists and non-specialists and to show individuals not as
victims but as creative subjects. Examining Makeright and Ecobox as examples within
the field of design, we see how a facilitator, not a producer of “goods” or “services”,
exemplifies the tendency to take into account the “assets” of others and to focus not on
working “for” the community but “with” the community [21]. This conceptual
framework is in line with Melles’ reformulation of the practices of social design in
response to the concept of the “triple bottom line” proposed by John Alkingston in
1997, a concept which is the basis of social design and which defines the designer as a
“facilitator of flexible solutions that meet local needs and resources” [22]. In this
context, the question of turning the gaze of society towards people and the gaze of
people towards themselves has been described in design as asset-based community
development (ABCD), “a methodology that seeks to uncover and utilise the strengths
within communities as a means for sustainable development” [22].
76 A. Nolasco
As we saw with Makeright and its careful choice of location for the project, with
Ecobox and with Young New Yorkers and its transformation of court employees into
exhibition visitors, both the art and the design projects cited above seek to create what
Manzini described as “safe places, where meaningful and relational encounters can
happen in a de-risked environment” through “relational things, capable of triggering
relational/empathic encounters” [6]. In this way, the projects create spaces that exist
outside of official institutions and their routines, spaces where it is hoped that partic-
ipants will be able to make the most of their assets.
In summary, these social projects, most of which involve collaborative practices,
are therefore characterised by the renunciation of individual authorship, by the role of
the artist or designer as a mediator or a facilitator, by the dematerialisation of the object
and a focus on the process and the local context. Above all, they are fuelled by a sense
of urgency linked to the environmental crisis, the growing extinction and/or
marginalisation of non-hegemonic minorities and knowledge, and the impoverish-
ment of the contemporary social fabric.
4 Final Considerations - Ex-Machina
In the projects analysed above and the creative process of Echoes of Machim, there is
not so much an attempt to denounce art and design institutions, so much as an
endeavour to bring about social change by testing out possible futures. However, in my
opinion, there is still a disconnect between social projects and the world of art and
design. In the field of design, for example, the curriculums of design schools do not, for
the most part, cover the necessary skills for social design, which requires the devel-
opment of interdisciplinary competencies and the capacity to collaborate with a range
of different entities, including institutions, NGOs and communities from different social
contexts. As for art schools, they mostly train artists to work individually, while critics
continue to develop discourses which promote a notion of authorship reminiscent of the
Romantic ideal of the solitary artist, and the majority of museums are still unequipped
for transmitting the experiential dimension of this kind of collaborative project.
In my view, Echoes of Machim can be seen to exemplify the conflicts inherent to a
paradigmatic transition in which two contrary forces are pushing against each other:
institutionalised artistic authorship and a new conception of art where the artist
renounces individual authorship. In this way, due to the fact that its audience is still not
being reached via a direct channel, if the culmination of the project is its presentation in
a museum, this results in the paradoxical situation of it being attributed a brand or
authorship by the kind of art institution whose paradigm the project is trying to break
with.
This is where art could learn something from design, a field in which, as I see it, the
notion of authorship is less pervasive, as there is often more focus on the project than
on the designer, while in artistic discourse, it is the artist who tends to be emphasised,
leaving the other people involved in the project in their shadow. In this way, we can see
that in the social art projects which achieve the greatest social change, such as Young
New Yorkers, the difference between social art and design is practically non-existent.
Art has the potential to mobilise symbolic capital and encourage empathy through
“meaningful encounters” [6, pp. 4–5], recuperating the untold stories of minorities and
creating “momentary, fluid, short-lived connections in place can be as powerful as
long-term relationships” [23]. Design, in turn, has developed methodologies which can
mobilise this empathy and creativity for a project, making this change sustainable.
Until recently, the separation between art and design was based on the supposition
of the incompatibility of the aesthetically enjoyable and the useful, as aesthetics where
linked to luxury and leisure.
However, the aesthetic experience is not limited to the contemplative Platonic
experience reiterated by Kant [24], it is also expressed through the deepening of
relationships with the other, a fact which allows it to be a transformative experience.
The aesthetic effect can therefore be intensified by a social effect, while the project
methodologies of design can contribute to intensifying the aesthetic experience by
making its social effect more sustainable.
If we follow the line of thinking of Rancière and understand aesthetics in the Greek
sense of the term “aiesthesis” – perception through the senses – the social art and
design projects explored in this article can be seen to have an aesthetic effect, as they
change peoples’ perception of themselves, as well as society’s perception of these
people.
The dichotomy that Claire Bishop established between the art of consent, following
a Platonic model, and the art of dissent tends, in my opinion, to be reductive, as well as
artificial, as the majority of projects contain both of these elements, although in dif-
ferent proportions. Indeed, I believe that it is necessary for a project to have both
elements – dissent and consent – in order for it to be able to carry out effective social
change. I consider that, on the one hand, the social design projects analysed in this
article contain elements of dissent, articulating disruptive objectives in that they “are
also an attempt to disrupt existing paradigms of shared meaning, values and purpose to
replace them with new ones” [25]. On the other hand, although they highlight existing
social conflicts, thereby provoking dissent, artistic projects such as Echoes of Machim
also present new social models, collaborating constructively with local people and
organisations: although it is necessary to denounce conflicts, it is also necessary to
present constructive proposals and be capable of making compromises with institutions
in order to achieve social change.
Evidently, from an objective perspective, any artistic or design practice which seeks
to do social good can be seen to follow Bishop’s Platonic pedagogic model [13], even
if what Plato understood to be an ideal society is often quite different from the vision of
contemporary artists and designers. But the projects studied here stand out for the fact
that they value the assets of others, without attempting to change them to fit their
worldview. They offer “spaces of possibilities” for “meaningful encounters” in the
sense that Manzini gave to these terms in the field of design [6], which is to say that
they are spaces which foster the creation of solutions by the participants themselves.
In Echoes of Machim, there are, in my view, three important axes in play: visibility;
empathy and interpersonal nexuses; creativity and social emancipation. In a society
where power is held by the media and social networks, which between them make up
the entire public sphere, fighting against inequality means putting excluded people on
the map, just as RIGO 23 does. As an international artist, he can channel both
78 A. Nolasco
immaterial resources – such as the public’s attention – and material support – such as
funding from art institutions or other organisations – redirecting them towards the
margins of society, as he does with Echoes of Machim. In the sense that this project
alters the division between the public – an objective reality shared by all – and the
private – a subjective reality – it alters the regime of visibility and can be seen to
participate in what Rancière named the “sharing of the sensible,” which constitutes, in
his opinion, the distinguishing characteristic of art [26]. This regime of visibility works
in two directions, as it not only alters the way in which minorities are seen by others,
but also the way in which they see themselves, contributing, in this way, to their social
emancipation.
Empathy is essential for mobilising people (…) and is developed over time through
personal relationships which are, for RIGO 23, both the material and the result of his
work:
“I collaborate with individuals and communities in resistance through art, but they
collaborate with me through their own practices. What results, therefore, can’t be
measured only through visual or aesthetic lenses. Together, we nurture relationships
that need strengthening. Each brings their own context and expertise, their personal and
collective history, their regrets and aspirations. A work of art results, sure; but so does a
network of social relations, a set of shared experiences, and a community” [4].
“Echoes of Machim” echoes the term “Ex-Machina”, and it would certainly appear
that we need an unexpected solution, something outside of the box, in order to get out
of the situation in which we currently find ourselves. This is to say that we need to
come up with visions of the future that are totally removed from their preceding
paradigms which, as has been clear for some time now, are unsustainable. In this way,
Echoes of Machim does not evoke the founding myth of Robert Machim simply in
order to question it but also uses it to explore new visions of the future, symbolised by
the project’s intention to build “a more or less fantastical ship”: something ex-machina
can only be born from inventiveness, the only way of finding an alternative to that
which neoliberal ideology aims to convince us is inevitable.
I believe that social art and social design can work together to create bonds between
people, feeding the public sphere and preserving the debate necessary to create new
visions of the future.
Acknowledgments. Thanks to the Fundação para a Ciência e Tecnologia (FCT), Portugal for
the Post-PhD Grant SFRH/BPD/108392/2015, my Supervisor, Prof. Dr. Rodrigo Cunha and Co-
Supervisor Prof. Dr. Carlos Garrido.
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Threshold Concepts and Design
for Social Change
Nicos Souleles1(&), Ana Margarida Ferreira2,3, and Stefania Savva1

1
Art + Design: elearning Lab, Cyprus University of Technology,
Limassol, Cyprus
{nicos.souleles,stefania.savva}@cut.ac.cy
2
3
Abstract. The transition from ambiguous and unclear areas of academic enquiry
towards well-defined knowledge boundaries confronts design for social change.
Research relevant to the epistemological dimensions of the related academic
discipline is limited. Identification of Threshold Concepts (TCs) unique to this
academic area can help define appropriate knowledge boundaries. TCs are
essential knowledge portals that, once mastered, can result in a transformed way
of developing knowledge. Transformation may be emergent or protracted. This
paper identifies a number of TCs and elaborates on their significance. Data were
collected through a questionnaire with participants from academic and social
design practice. This paper argues that it is of educational value to consider that
some TCs in the related Higher Education (HE) curricula have to do with ways of
thinking and practice, rather than the mastering of discrete conceptual ideas. This
has implications for curriculum development in the area of design for social
change.
Keywords: Threshold Concepts Design for social change

Higher education curricula Social design
1 Introduction
Friedman [1] asserted that there comes a time in the evolution of an academic discipline
when the core principles of the field it rests upon shift from being ambiguous and
undefined into a state of reasoned inquiry and articulated philosophy and methods. The
transition from ambiguous and unclear areas of academic enquiry towards the elabo-
ration of well-defined knowledge boundaries confronts all disciplines as they gradually
evolve and transform into distinct areas of study and research.
One aspect of this metabasis is the identification and articulation of Threshold
Concepts (TCs). These were originally articulated by Meyer and Land [2], who pro-
posed that in all academic disciplines there are conceptual passageways or knowledge
gateways that must be passed through by learners, however difficult that transition
might be, to arrive at significant new disciplinary understandings and learning.

https://doi.org/10.1007/978-3-030-20145-6_8
Threshold Concepts and Design for Social Change 81
In recent years Higher Education (HE) started to offer programmes of study in the
area of design for social change [3, 4]. There were persistent calls to do so. For
example, the Arts and Humanities Research Council [5] argued that HE has barely
begun to discuss what social design might mean and suggested that there is an absence
of a recognizable instructional pipeline for design for social change, from undergrad-
uate teaching through to postdoctoral research. Similarly, the Smithsonian Institution
[6] recommended that HE should offer pilot programmes in design for social change
either as tracks in existing programmes or stand-alone interdisciplinary programmes.
More recently, in a study by Rocha, Ferreira and Azevedo [7], the authors con-
cluded that with few exceptions the skills and competencies that relate to design for
social change are not properly and systematically embedded in related HE programmes
of study. This is not surprising, considering the newness of the academic field, and the
fact that overall it remains under-developed and under-researched [4, 8].
There is limited literature across the various design disciplines on TCs, with some
research undertaken in the areas of product, automotive design, and interior architecture
[10]. More specifically, TCs for design for social change have not been investigated
previously.
The aim of this study is to identify from the perspective of those engaged in the
field (academics and practitioners) the characteristics of TCs that are pertinent to this
academic discipline. This can contribute towards defining and developing the knowl-
edge boundaries of this newly emerged academic area.
Over the last few decades it is possible to discern a gradual switch of focus in
design practice and a parallel change in the related academic disciplines from where
design for social change emerged. This paper starts with the necessary contextual
background to this investigation by elaborating on the evolution in design practice.
This highlights the changing and evolving instructional challenges confronting the
academic delivery of design for social change. This contextual background is followed
by an elaboration on TCs and what they entail.
It is suggested that the knowledge gateway that learners transcend in the broad area
of design education relates more to design thinking and practice than the mastering of
conceptual ideas, and this is relevant to instruction in design for social change. The
methodology section describes how data were gathered through an online question-
naire, and the analysis that was undertaken. Finally, the findings that emerged from this
investigation are presented within the limitations and parameters of this investigation.
2 Design for Social Change as an Instructional Endeavour
Social design is a general term that covers a broad range of practices with a focus on
dealing with social issues, albeit through varied strategies and from different per-
spectives [5, 9]. Similar terms are ‘public-interest design’, ‘social design’, ‘social
impact design’, ‘socially responsive design’, ‘social entrepreneurship’, ‘transformation
design’, ‘social innovation’ and ‘humanitarian design’.
These terms indicate the focus of the social design activities and the impetus behind
them. They entail a range of strategies underpinned by social responsibility and design-
led social innovation [3, 12]. An additional common denominator between the above
82 N. Souleles et al.
terms is that social design practices employ predominantly participatory and co-design
approaches to the research, generation and delivery of various and diverse outcomes
[9, 11].
There is some debate on whether design for social change is an attitude that design
and other practitioners can adopt under the wider idea of social responsibility that
informs their professional practice, or if it can be packaged as a discrete and clearly-
defined educational programme of study. The former view is advocated by professional
designers, who do not draw upon past academic and educational experiences to explore
and create new forms of practice in social design [8]. The proponents of the latter
consist mostly of academics, who claim that design for social change is a distinct
discipline founded on well-thought educational routes of progression rather than ad-hoc
professional experiences alone [6].
However, social design practices indicate that both views are valid, and the attribute
of self-efficacy, i.e. the belief in one’s ability and attitude to effect positive social
change can play a significant contributing role [4, 13].
The emergence and evolution of design for social change as a professional and
academic path can be traced within the broad area of pre-existing, well-established and
diverse design disciplines. There is a recognition that these disciplines share a generic
commonality, i.e. the fostering and promotion of some mode of creativity and inno-
vation. The pursuit of creativity provides a foundation for a set of skills, tools and
strategies that can guide people towards new socially innovative solutions – using
design-based strategies – to address social needs usually neglected by traditional forms
of private or public provision [8].
The focus of design disciplines gradually moved from symbolic and visual com-
munications for the demands of market-led designs towards the provision of activities
and organized services that often entail dealing with complex (social) systems and
environments [9, 14–16]. Significant in this evolution of practice is the contribution of
Papanek [25], who argued for the designers’ social and moral responsibility towards
their audience and the need to address people’s needs rather than their artificially
created wants.
To address the diverse and open-ended challenges design disciplines tend to
employ participatory and collaborative solution-focused strategies. For example, a
well-known strategy is design thinking as a tool and a process to generate new and
socially innovative solutions [8, 9, 17]. These strategies tend to be iterative in process,
abductive and mostly qualitative in approach. employing among other methods action
research and ethnography [18]. In terms of the appropriate disciplinary content to foster
the skills that address diverse and open-ended challenges in HE, Friedman [1] high-
lights an underlying principle and truism that is widely accepted in academic design
discourse. Effective design requires multidisciplinary teams and interdisciplinary
knowledge [19, 20].
A report by the European Commission [21] provides a list of ‘inter-connected
ecosystems’, consisting of attitudes and cross-disciplinary knowledge domains relevant
to design for social change. This list includes diverse items such as awareness of social,
personal, economic, cultural, technological, physiological and political factors, as well
as interaction with the areas of technology and behavioural and economic sciences. To
this list can be added the knowledge of tools and strategies that support participatory
and collaborative solution-focussed strategies.
A study by Alden-Rivers [3] has further refined the instructional objectives by
developing a list of attributes and personal competencies that learners ideally should
develop through relevant programmes of study. These are: Self-confidence at personal
and social level, perseverance and resilience when dealing with ambiguous and com-
plex tasks, internal locus of control and ability to self-regulate and self-direct, self-
awareness of weaknesses and values and ability to develop further, action oriented and
goal-driven, innovation and creativity when pursuing original outcomes, critical
thinking and ability to interpret a wide range of evidence, ability to practise empathy
and consider others’ perspectives, ability to reflect as a means for problem-solving,
effective communication and networking skills in diverse contexts, emotional and
social intelligence, leadership qualities that can inspire change, and being value-driven
and an advocate for social justice.
This multiplicity of diverse knowledge domains, competencies and personal attri-
butes that comprise the ‘inter-connected ecosystems’ of social design education sug-
gests that there is a significant role in the curricula for the development of integrative
skills practised in cross-disciplinary contexts. It is vital to foster these skills in social
design education due to the nature of social challenges that are often open-ended and
not well defined. The social designer needs to be able to handle diverse knowledge and
expertise to address complex design challenges that have been described as ‘wicked
problems’ [22]. This is the instructional challenge confronting social design curricula.
3 Threshold Concepts
Threshold Concepts (TCs) were originally developed by Meyer and Land [2], who
described them as similar to a portal that opens up a new and previously unable to be
reached way of thinking about something. The mastering of TCs represents a trans-
formed way of developing understanding, or explaining, or becoming aware of
something without which the learner cannot progress. The acquired view or new
knowledge can represent how individuals consider their discipline, or how they per-
ceive, understand, or experience particular phenomena associated with the discipline. It
is argued that this can lead towards a changed internal view of the subject matter and
wider knowledge of it. This transformation may be emergent, or it may be protracted
over a period of time, with the transition towards understanding often being trouble-
some and challenging for the learners.
Meyer and Land [2] outlined the following five qualities of TCs: (a) They are
transformative. Once TCs are mastered the potential effect on learning is to bring about
a significant change in the perception of a subject, or part of it. (b) They are possibly
irreversible, in that the change of perception triggered by the knowledge of a TC is only
likely to be unlearned by considerable effort. (c) TCs are integrative in that they expose
previously hidden interrelations between concepts and ideas, and thus enable learners
to make connections that were hidden from view. (d) They are bounded, in the sense
that they have a borderline beyond which there are other TCs that can lead into new
conceptual areas of knowledge. Lastly, (e) TCs are likely to entail the mastery of
knowledge or understanding that is perceived in the beginning as counter-intuitive and
seemingly incoherent or extrinsic.
While attempting to master a TC, learners occupy a space described by Meyer and
Land [23] as a ‘liminal’ state. It is a space compared to that which adolescents inhabit.
They are not yet adults, and they are not quite children. Characteristic of the liminal
space is that it is unstable. Learners may switch between old and emergent under-
standings, just as adolescents often move between adult-like and child-like responses to
their transitional status. However, once the learners enter the liminal space, they are
engaged with the mastery process unlike those who remain in a state of pre-liminality
where understandings are at best vague.
Rodrigio [10] put forward the view that for design disciplines the notion of TCs
holds more value when considered from the perspective of ‘ways of thinking and
practising’, rather than discrete conceptual ideas. This is due to the interpretive nature
of the design process. Learners bring to the instructional process their own experiences
and ways of perceiving design challenges. How they address the challenge ahead is a
matter of interpretation, an act of positioning, of situating their ideas within a set of
relationships. “Understanding emerges from this dialogical process between the part
and the whole” [10]. This hermeneutic approach to address design questions entails the
domain of the written text as well as all processes and practices that are components of
interpretative acts. Subsequently, the author argues that the development of interpretive
thinking skills in design constitutes a TC that is by nature a transformative, irreversible,
integrative, bounded and troublesome mode of thinking and practising. The view that
professional practice in design is a TC was also argued by Gray and Siegel [24]. The
authors suggested that learners need to master – incrementally and through appropriate
teaching and learning – practitioner thinking and the dynamics of design thinking in
professional practice. When the mastery of the latter occurs, learners make the tran-
sition from academia to professional practice.
4 Data Collection and Analysis
Data for this investigation were collected through an online questionnaire (Sur-
veyMonkey) that was developed to solicit replies from both academics and practi-
tioners associated with social design. It comprised three (3) questions so as not to
become tiresome for the participants. Subsequently, the call for participants was posted
in design-related online forums, and forty-five replies were received (n = 45) over a
period of six months. Due to the low number of participants a margin of error is likely,
and the results can only be treated as indicative. This is one of the limitations of this
study, while a delimitation is that the gender of the participants was not sought. Replies
to each question are collated and analysed below. Question 1: Please indicate if you are
an academic in the broad area of social design, a practitioner in the same area, or
something else (Table 1).
Table 1. Questionnaire participants.

Other A practitioner in the broad area of An academic in the broad area of
social design social design
19 (42.22%) 10 (22.22%) 23 (51.11%)
About half of the participants in this study (51.11%) identified themselves as

academics in the broad area of social design, and less than a quarter (22.22%) as
practitioners. The remaining (42.22%) includes participants who described themselves
as both academics and practitioners, designers with no specific area stated, an architect,
an industrial designer, a doctorate student and a ‘theorist’. What can be discerned from
this first question is the relevance of the study beyond the academic boundaries of
social design for a wide variety of academic disciplines and practitioners.
Question 2: Threshold Concepts are similar to a knowledge portal that opens up a
new and previously unable to be reached way of thinking about something. Once
mastered, a Threshold Concept has the potential to bring about a significant change in
the perception of a subject, can reveal previously hidden interrelations between con-
cepts and ideas and is difficult to unlearn. Thinking about Social Design, please suggest
concepts and/or attributes that you consider as essential Threshold Concepts for higher
education learners, and please provide briefly your reasoning.
Firstly, when analysing the replies to the above question, it was possible to confirm
that the proposed TCs fall into the two distinct categories identified above in the
literature review of this study. They comprise codified and explicit knowledge, or they
involve ways of practising and thinking. Secondly, there are overlaps between the two
categories. Some of the proposed TCs entail the combination of codified knowledge
and practice. To comprehend this better, the replies were mapped in the table below. To
avoid redundancy where similar or identical replies coincided, these were removed, but
where different statements within a group provide a dimension of the same TC these
were retained (Table 2).
Table 2. Emergent TCs.

Codified/explicit Practice-based knowledge Overlap
knowledge
Cross functional multidisciplinary
working ability
Experience of working with other
disciplines on complex problem
solving
X Community participation and co- Ethnographic research and
creation appreciative
Promotion of eco-centric rather than
ego-centric interactions
Empathic approach to community
working
Ethnographic research and
appreciative enquiry
Capacity to suspend judgement
(continued)
Table 2. (continued)
Codified/explicit Practice-based knowledge Overlap
knowledge
Mindfulness approach to working
with others
Mindfulness and mindful design
X Problem naming and framing skills Core skill in design thinking and
Toleration of ambiguity of problem practices
structures
Core skill in design thinking and
practices
Capacity to facilitate creativity
amongst stakeholders
X Root-cause analysis and systems Root-cause analysis and systems
thinking thinking
X Visualisation skills to convert big Visualisation skills to convert big
data into meaningful representations data into meaningful representations
X Ability to distinguish between Ability to distinguish between
different artifact kinds/outcomes different artifact kinds/outcomes
(social, technical, artistic) (social, technical, artistic)
X Knowledge of social economy Knowledge of social economy
Question 3: Please select from the list only the items you consider relevant to social
design as TCs:
(a) Empathy, deep listening, careful observation, adaptability
(b) Generation of new knowledge, integration of multi-disciplinary/cross-disciplinary
information, synthesis
(c) Positive self-efficacy, resilience and resourcefulness
(d) Effective collaboration, co-operation, team work, participatory and collaborative
mindset
(e) Sustainability of collaborations and synergies
(f) Multidisciplinary/Interdisciplinary practice
(g) Effective problem-solving strategies, analytical approach
(h) Assessing and evaluating impact of work
The above list was informed by a previous study that investigated the knowledge
domains that are relevant to the academic area [4]. The participants were not required to
select all the items listed in the question. Replies are listed below from highest to
lowest in terms of their overall accumulated score (Table 3).
Table 3. Ranking of proposed TCs.

Score Items
22 Empathy, deep listening, careful observation, adaptability
13 Generation of new knowledge, integration of multi-disciplinary/cross-disciplinary
information, synthesis
11 Positive self-efficacy, resilience and resourcefulness
10 Sustainability of collaborations and effective synergies
7 Assessing and evaluating impact of work
9 Multidisciplinary/Interdisciplinary practice
9 Effective collaboration, co-operation, team work, participatory and collaborative
mindset
6 Effective problem-solving strategies, analytical approach
When comparing the replies between the two questions – the first one being open-
ended and the second one closed-ended – there are a number of overlapping answers
comprising elements that can be grouped together to cohere into distinct TCs.
The first group comprises ethnographic research, appreciative enquiry, community
participation and co-creation, promotion of eco-centric rather than ego-centric inter-
actions, an empathic approach to community working and one that suspends personal
judgment. This group also involves empathy, deep listening, careful observation and
adaptability, and comprises knowledge developed predominantly through practice-
based instructional and real-life approaches.
The second group encompasses the ability to work in cross-functional and multi-
disciplinary environments towards complex problem-solving. The new knowledge
generated through this process entails a synthesis of multi-disciplinary/cross-
disciplinary information. This group too requires practice in real-life scenarios.
The third group incorporates effective competencies in design thinking and
problem-solving strategies. Additional aspects of this group are problem-naming and
problem-solving skills in ambiguous contexts. This grouping straddles both codified
and practice-based knowledge.
Another distinct group revolves around the notion of mindfulness and mindful
design. This relates to the ability to reflect upon and consider the ethics and impact of
outcomes on individuals, society and the environment. It requires social awareness of
one’s actions and a contemplative and reflective approach towards outcomes. Although
it is possible to identify codified knowledge that relates to ethics, it would be difficult to
advance and refine the related competencies without real-life practice. The latter applies
for further emergent TCs from this study, such as root-cause analysis and systems
thinking, visualisation skills to convert big data into meaningful representations, ability
to distinguish between different artifact kinds/outcomes (social, technical, artistic),
knowledge of social economy, positive self-efficacy, resilience and resourcefulness,
sustainability of collaborations and effective synergies, and assessing and evaluating
the impact of outcomes.
5 Conclusion
The aim of this study was to identify from the perspective of those engaged in the field
(academics and practitioners) TCs and their characteristics that are pertinent to the
discipline of design for social change. Irrespective of the debate between practitioners
in social design and academics as to whether design for social change is an attitude that
can be developed through ad-hoc professional practice, or comprises knowledge that
can be packaged and delivered in discrete and clearly-defined programmes of study,
considering that the latter are on offer for some years now, the task confronting HE is to
address the instructional challenge of defining and delivering the relevant TCs. The
contribution of this study, beyond the identification of some discrete areas of knowl-
edge that can function as TCs, is to support the argument that the identified TCs entail a
significant level of practice-based knowledge. The next objective is how to effectively
embed such knowledge in the instructional process. Following on from this, we need to
assess through long-term studies how learners experience the practice-based learning
process and if indeed there is integrative and transformative potential through such
endeavours. It can be argued that until there is sufficient research in this area, we
continue to function in a liminal state.
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Sustainable Collaborative Design Practices:
Circular Economy and the New Context
for a Fashion Designer
Lucinda Morrissey1(&), Roberta Barban Franceschi2,3,

and Ana Margarida Ferreira3
1
Facultad de Bellas Artes de Cuenca, Universidad Castilla La Mancha,
Calle Benito, 2, 16002 Cuenca, Spain
lucinda.morrissey@alu.uclm.es
2
Design Department, ESNE - Escuela Universitaria de Diseño,
Innovación y Tecnología, Plaza Fernando Álvarez s/n,
33006 Montecerrao, Oviedo, Asturias, Spain
roberta.barban@gmail.com
3
Abstract. The change of models required to implement circular design brings

real problems closer to the field of design education. The complexity of today’s
world [8] favours the integration of systems, here a collaboration between the
non-governmental organisation and university. Our understanding of sustain-
ability requires understanding how affects everything in our lifestyle, governing
and social corporate strategies adopted [1]. Innovation requires creativity, crit-
ical analysis and ethics, to understand the complexity of social behaviour,
technology and business [6]. To observe that local and global issues are closely
related [4] and solving design problems requires interdisciplinary teams, the
praxis [3] and periphery, the dominated and primitive [2].
Keywords: Circular design Circular economy Design education Ethics

Sustainability Social change
1 Our Context
Collaboration projects between universities and companies make it possible to work

with the actual commercial world and introduce topics that are not covered in the
official degree studies. The Esne Go-Circular Project has precisely this objective, to
incorporate a contemporary issue that is not addressed in the Fashion Design and
Textile Degree syllabus allowing the students to participate in a professional project
and have direct contact with the client. In this case, the Esne Asturias University is
collaborating with the ONG Humana People to People Foundation on the theme of
circular design and sustainable fashion. The participating students are first and second
year students from the fashion studies, in addition to first and second year students from

https://doi.org/10.1007/978-3-030-20145-6_9
Sustainable Collaborative Design Practices 91
the Graphic Design Degree who will be responsible for the development of commu-
nication and branding for the fashion show to be held at the end of the course. The
project also aims to provide the student with a reflective practice [11], they will work
with a real dilemma to be resolved, reflect on their actions and learn during the process
as they draw their conclusions, this will provide them with broader knowledge having
worked within a real setting and with a real company.
The change of models required in order to implement circular design, with ethical
and sustainable approaches, brings real problems closer to the field of design education.
The role of the university is crucial as it must be able to present these contexts to the
student in a manner that discerns reality and supplies the knowledge by means of
solutions to problems posed in the commercial world. To develop projects in con-
junction with companies or institutions is a very necessary tool for design students to
become familiar with professional challenges, and hence Esne Asturias has invited the
Humana to participate with this new action.
2 The Esne Go-Circular Project
Humana is present in 30 countries since 1987 in Spain. Its goal is to develop cooperation
and environmental protection projects, working with the commerce of second-hand
clothes as is its greatest resource. In Spain they have over 5,000 containers distributed
throughout the territory, each year collecting approximately 18,000 tons of clothing and
footwear, of this amount approximately 15% is clothing fit for Humana’s second hand
stores in Spain and 46% of clothing is sent to Africa to be sold at low prices to local
wholesalers. This responds to the demand of specific countries, creates local economic
activities and generates local resources for development, 29% is unusable and sold to
textile recyclers with the remaining 10% of the clothing being sent to waste treatment
facilities, since it cannot be reused or recycled due to low quality.1
Fig. 1. How we work (https://www.humana-spain.org/como-lo-hacemos/?&lang=en consulted,

February 2019)
1
https://wellmadeclothes.com/articles/HM43BillionWorthOfUnsoldClothes/.
92 L. Morrissey et al.
Humana is committed to the maximum use of textile waste, giving a second life to
the product, by reducing the volume of clothing that goes to waste treatment facilities,
reusing most of the discarded clothes and upcycling clothing in poor condition into
other products.
Fig. 2. Photos taken from the Humana corporate presentation to the Esne-Asturias students
“Waste > Resources”, 2019. (supplied by Ricardo Rodriguez Herrero, Senior Unit Manager)
3 The Present Situation of the Fashion Sector
The existing “cradle to grave” linear production model contaminates, consumes an

excessive amount of raw materials and generates waste not only in the production
phase but also at the end of the consumption cycle resulting in difficult or impossible to
recycle and bearing little or no respect for business ethics or wellbeing of others (Ellen
MacArthur Foundation 2017).
The fashion sector for many reasons, represents and functions in a linear economy,
producing more than the market can absorb, an example is to be seen in the multi-
national H&M annual report that admits that in the last quarter of 2018 it has accu-
mulated an excess stock of $4.3B, this will become excess waste and need incineration.
H&M proudly promotes its green agenda with recycling points in stores and its
Conscious Collection, had previously suffered a surplus clothing scandal in New York
in 2010 when employees were caught shredding and dumping brand-new, unsold
inventory. It didn’t help any that this particular H&M was located near a charity that
provided clothes for the poor. The energy consumed by the fashion industry is mon-
umental, a 2017 Ellen MacArthur Foundation reports that “total greenhouse gas
emissions from textiles production, at 1.2 billion tons annually, are more than those of
all international flights and maritime shipping combined” (Fig 3).
Fig. 3. “I shop therefore I am” photolithograph on paper shopping bag by Barbara Kruger, 1990
(https://www.moma.org/collection/works/64897 consulted, February 2019)
The “I shop therefore I am” artwork by Barbara Kruger in 1990 is a prophetic

image that visualizes the addiction of consumerism, and many years later the concept
of fast fashion as a market-based model lead by the Spanish brand Zara has created an
obsessive need to buy an excessive amount of cheap clothing irrespective of the
damage to others or the planet. Only now are we realizing the full impact of our actions
and looking towards responsible fashion for solutions, moving away from the linear
production –no longer suitable to the world in which we live– towards a circular
economy.
Greenpeace since launching in 2011, the Detox My Fashion campaign has played
an active role in representing the preoccupations of consumers by organizing public
demonstrations to heighten awareness of foul play by too many of the large fashion
companies (Zara, Nike, Adidas, Lidl, C&A…), forcing these brands to make public
their production process and reconsider their suppliers, ethics and use of natural
resources. In 2018 a report from Greenpeace Germany provides us with good news:
“all 80 companies that took the pledge to phase out these chemicals from their
production-line by 2020 have achieved significant progress…these companies repre-
sent 15% of global clothing production”.2
The present economy of excess means surplus clothing is now a big headache for
many companies, not only for the luxury brands which have always needed to protect
their cachet with their products always exclusive and in-demand, but now also the fast
fashion faces the same dilemma but on another scale. Here, creativity will be needed to
propose new strategies to tackle the issue. Little by little, ideas emerge and surprise us.
For example, the Hermes “Petit h project” upcycling their discarded material into new
objects of desire using the wabi-sabi concept, where imperfections of nature become
assets of great beauty3. Burberry was less successful in rethinking its strategy. In 2018,
news emerged that the British company had incinerated bags, clothes and perfume
worth over €32 m4, the public responded outraged using the hashtag #burnberry on
2
https://www.greenpeace.org/international/publication/17612/destination-zero/.
3
https://www.hermes.com/us/en/story/22741-us-petit-h/.
4
https://www.bbc.com/news/business-44885983.
social media. However, this is perhaps not the most worrying part of the fashion
business’ attitude towards sustainability. It needs to go further and change the linear
model of production that fits a capitalist economy showing clear signs of losing touch
with the 21st C consumer’s needs.
The Fashion Revolution Day5, created in 2003 after the Rana Plaza disaster in
Bangladesh and headed by leading figures like the British model Lily Cole, actresses
Emma Watson and Cate Blanchett, sustainable designer and activist Livia Firth, allows
activists, celebrities, designers, models, celebrities and the general public to join
together and call for a change in the fashion system with its Fashion Transparency
Index6. Over 275 million people participated last year, with valuable educational
activities in schools and centers, much interest in the media and powerful figures in the
fashion sector voicing their concerns. The movement clearly appeals to all ages, but
more importantly reaches the young fashionistas, the future generations of designers
and consumers, through influencers like Kristen Leo with 2.5 million followers who
advocates quality over quantity or the hashtag #whomademyclothes.
Fortunately there several institutions working in Europe towards a circular pro-
duction model, such as: the Ellen MacArthur Foundation in London, an independent
charity established in 2010 with its multiple initiatives/agreements/festival promoting
circular design, the Global Fashion Agenda in Copenhagen with its 2020 Circular
Fashion System Commitment initiative and the interactive Fashion for Good museum
in Amsterdam advocating the ‘take-make-waste’ model7 among many other emerging
actions.
“A New Textiles Economy: Redesigning Fashion’s Future”8 report explains how
clothing is increasingly underutilized, people buy far more than they need, in countries
like Germany or China where they may only use a piece 6 or 7 times before discarding
it. Consumers recognize this as a problem, with used clothing practically all the textile
value is lost: “As much as 73% of material going into the clothing system is lost after
final garment use, 10% is lost during garment production (e.g. as offcuts) and 2% is
sent to landfill or incineration.”9 With this data we observe the importance of the Esne
Go-Circular Project in order for the student to appreciate the problem not only at a local
or immediate scale (while creating their own fashion collection) but also the global
scope of the problem faced (with the collaboration of the NGO Humana with projects
in 45 countries on 5 continents reaching more than 14 million people).
In a survey conducted in 2016 by Wrap [14] in the UK regarding consumer habits,
people were asked why they donate their clothes, reporting that 42% replied because
5
https://www.fashionrevolution.org/.
6
https://www.fashionrevolution.org/about/transparency/.
7
https://fashionforgood.com/about-us.
8
https://www.ellenmacarthurfoundation.org/assets/downloads/publications/A-New-Textiles-Economy_
Full-Report.pdf
9
https://www.ellenmacarthurfoundation.org/assets/downloads/publications/A-New-Textiles-Economy_
Full-Report.pdf.
the clothes no longer fit them, 26% because they no longer liked them, 19% due to
damage, stains, loss of shape or worn out, 7% because they did not need them any more
and 6% for other reasons.10
An ongoing investigation by UK MPs as part of the Environmental Audit Com-
mittee investigates the social and environmental impact of fast fashion according to the
United Nations Sustainable Development Goal 12 - ensure sustainable consumption
and production patterns - by questioning “What typically happens to unwanted and
unwearable clothing in the UK? How can this clothing be managed in a more envi-
ronmentally friendly way?”11 Ironically, as clothes production increases garments are
worn less, and textiles disposed in household recycling end up as landfill creating
methane emissions, solutions need to be identified.
4 The Need for a Circular Economy
In 1976 the idea of an economy in loops was proposed in the European Commission
report “The Potential for Substituting Manpower for Energy” [12]. Later the concept
of a circular economy based on non-linear systems was outlined in 1989 by the
environmental economists Pearce and Turner [9] when they wrote that the traditional
open-ended economy lacked the tendency to recycle and treated the environment as a
rubbish bin. This idea forms the basis of the following sustainable theories: cradle to
cradle, laws of ecology, looped and performance economy, regenerative design,
industrial ecology, biomimicry and blue economy. In 2013 the authors of the Cradle to
Cradle concept, McDonough and Braungart, updated their concept with the publication
of “The Upcycle: Beyond Sustainability - Designing for Abundance” [7], where
10 years later they suggest that instead of limiting sustainability to protecting the planet
from human impact, we have the opportunity to improve the planet by producing
beneficial projects.
The British economist Kate Raworth proposes the Doughnut of Social and Plan-
etary Boundaries in 2012 “to ensure that no one falls short on life’s essentials - from
food and housing to healthcare and political voice, while ensuring that collectively we
do not overshoot our pressure on Earth’s life-supporting systems.”12 She is a member
of the Club of Rome and serves on several advisory sustainable boards, her work
expands on the 9 planetary boundaries proposed in 2009 by environmental scientists
led by Johan Rockström from the Stockholm Resilience Centre and Will Steffen from
the Australian National University (Fig. 4).
10
http://www.wrap.org.uk/sites/files/wrap/valuing-our-clothes-the-cost-of-uk-fashion_WRAP.pdf.
11
https://www.parliament.uk/business/committees/committees-a-z/commons-select/environmental-
audit-committee/news-parliament-2017/sustainability-of-the-fashion-industry-inquiry-launch-17-
19/.
12
https://www.kateraworth.com/doughnut/.
Fig. 4. The Doughnut of social and planetary boundaries (2017) https://www.kateraworth.com/

doughnut/
5 Education’s Role in the Learning by Doing Project
The Esne Go-Circular Project aims to incorporate sustainability issues and circular
design, contemporary dilemmas that are not addressed within the Esne Fashion Degree
syllabus, but are essential for the preparation of future designers, it is vital for students to
understand and implement ecological aspects in their designs, for the physical health of all
and general well-being of current and future populations [10]. In this context of a systems
change, it is essential that design education pay attention to the evolution of society and
progress in parallel. Present models of design education tend to be based on models that
originate from the 19th C industrial revolution, in workshops and practice-based research
[13]. Today’s society is facing changes towards new and much more complex contexts
[8], currently professionals work with ever changing contexts and amidst a constant
technological evolution, where the need is not only for theoretical knowledge, but also to
develop skills and attitudes that contribute to the working life and society, and this means
higher education needs to offer a new approach to the development of skills.
This transformation is accentuated when the teaching does not occur in a central
nucleus, where a polarized continuous flow of information, actions and exchanges
exists. Cities not part of this exchange network are located in the periphery, dominated
by the centre, [2] establish an anthropological analogy between the civilized and
primitive, between the dominated and dominant. It is possible to observe that in the
periphery the incorporation of the models used by the centre are perceived with less
dynamism resulting in a decompensation of the dynamics between the centre and
periphery. In the Esne Go-Circular Project we can observe the imbalance in the field of
the circular design and sustainable design. De Moraes [3] comments that the praxis of
the centre is also imposed on the periphery.
Design currently works with interdisciplinary teams with a transdisciplinary
approach [6], collaborative organizations that exchange knowledge, visions and con-
tributions to the problematic in hand, enabling the creation of new possibilities and
opportunities. The Esne Go-Circular Project includes professors from the fashion and
graphic areas, the Humana team with its multiple knowledge and the Esne students
from fashion and graphics areas, will work together to visualize new possibilities to
communicate and add value to second-hand clothes.
New practices of teaching and creation of expertise are emerging, just as Gibbons
[5] sees a change in society, the traditional model structured in disciplines moves
towards a new type of knowledge production. In the new model know-how is produced
in the context of application as opposed to within specific areas of academia, as in the
case of the Esne Go-Circular Project where the student will work within the context of
garment recycling using diverse problem-solving skills to identify a system of use for
the discarded clothing, as well as to adding value to second-hand clothes.
Social and ethical changes in present day society has, as explained by Ezio Manzini,
added value to offering innovative products and/or services requiring accurate creativity,
critical analysis and respectful/ethical design.
Observing a growing concern in the change of the mode of consuming clothes, the
Project 333 is a useful example, Courtney Carver in 2010 launched on the internet the
challenge #project 33313, with currently thousands of followers around the world.
The project aims to simplify a wardrobe and use just 33 pieces of clothing and shoes
per season, increasing frequency use and combinations of garments, reducing con-
sumption and encouraging a conscious attitude towards fashion.
These changes in habits means you need clothes that last longer, in the article “The
effect of consumer attitudes on design for product longevity: The case of the fashion
industry”, it highlights what affect consumers when purchasing, using and disposing of
their clothes. It suggests some basic requirements for clothing longevity; to ensure that
customers perceive clothes as good value for money, consider practical considerations
such as selecting materials that ensure straightforward laundering, providing clearer
care instructions and avoiding fabrics that do not wear well.14
In a circular design, the lifecycle of clothing must be controlled from its production,
through to use and final disposal, of course the consumer has an important role, as we
have seen, but the designer and fashion industry are fundamental in the process. An
example of actions carried out by education, with student collaboration, to offer trans-
parency to the fashion industry is the Fair Fashion Center project created by the NYC
Glasgow Caledonian University along with Arup. Launching an online one-stop tool
that “assesses the performance of a company’s entire portfolio, delivering tailor made
solutions and allowing for scenario modeling of facilities that consider energy reduction,
cost savings, initial investment, and payback periods.”15 Both Project 333 and ARUP,
are excellent initiatives that aim to bring the circular model to the fashion sector.
6 A New Context for the Fashion Business
Professional design practices at present need precise knowledge. No longer can they
rely on pure talent and willingness to solve design briefs, instead a designer needs to
understand the complexity of human and social behaviour, technology and business,
ethical and social issues. We are seeing a new breed of designer who is building their
brand thinking green from the beginning, where ecology, quality and innovative
designs unite thanks to the circular design concept.
13
https://bemorewithless.com/project-333/.
14
https://static1.squarespace.com/static/55ca3eafe4b05bb65abd54ff/t/5741a1e959827e2ef7468cf2/
1463919084774/456+McLaren.pdf.
15
http://ffact.gcufairfashioncenter.org/.
Renown eco fashion designer Stella McCartney is part of a new sustainability

charter at the UN to promote low-carbon production methods and reduce waste in the
fashion industry. Signatories will agree to a series of commitments covering sustainable
sourcing and design through to manufacturing in an effort to reduce the cost of sus-
tainable approaches and improve access to greener technologies and materials. The
Fashion Industry Charter for Climate Action aims to achieve net-zero emissions by
2050, it “aims to connect the diverse stakeholders in the fashion industry, including raw
material producers, textile producers, apparel manufacturers and brands, to identify
new areas for action and to scale up existing initiatives that connect the value chain.”16
Curatorial investigation and recent exhibitions like “Fashioned From Nature”17 at
the V&A in London or “Items: Is Fashion Modern?”18 at the MOMA in New York,
have made the public reflect on the impact that items of clothing and accessories have
in our daily life, the first exhibition showed fashion items beside natural history
specimens, taxidermy and unprocessed plant and animal fibers, thus making us very
aware of the raw materials used and their sources. The general public’s awareness of
the fashion dilemma is undoubtedly increasing as can be seen in the creation of the
Fashion for Good19 interactive museum with an Innovation Hub in Amsterdam, a
startup accelerator in Silicon Valley and a global network of change makers to redefine
how to design, make, wear and reused clothing on a sustainable basis. Also the XXII
Triennale di Milano, has chosen for 2019 the theme of “Broken Nature: Design Takes
on Human Survival”20 working with research and projects on restorative design and
observing the connection between humans and their natural environments.
A clear definition and true application of the circular design concept is proving to
be elusive. Often projects that advocate this model are in fact applying the upcycling of
materials or extending the life cycle of a product. However, these efforts should be
encouraged as it would be impossible to change from the linear model of production to
the circular from one day to the next. Also these projects offer the designer the
opportunity to think out of the box and move closer towards the circular economy.
In 1993 the Spanish fashion brand Vacas Flacas comprised of Carolina Azcona and
Miriam Cobo, took surplus stocks, recycling materials such as napkins, tablecloths,
gloves, zippers, scarves and dust rags to create garments that appeared in Pedro
Almodóvar’s films and were worn by celebrities. In 2012 the young Chinese designer
Si Chan presented the Hug Me Collection clearly inspired by the Vacas Flacas’ designs
for coats and tops using discarded gloves, where the hand movements are accentuated,
in particular the hug, to express Chan’s disconnection and loneliness (Fig. 5).
Other projects of interest in Spain (in order to provide the Esne students with a local
context) include:
• Saako Design (1990) with Portuguese designers, Ines Brito and Joana Gouveia, in
Barcelona transforming Portuguese jersey fabric into unique neckwear that sells in
16
https://unfccc.int/climate-action/sectoral-engagement/fashion-for-global-climate-action.
17
https://www.vam.ac.uk/exhibitions/fashioned-from-nature.
18
https://www.moma.org/calendar/exhibitions/1638.
19
https://fashionforgood.com/the-experience/.
20
http://www.brokennature.org/exhibition/theme.
Fig. 5. Vacas Flacas fashion, 1993 (www.modaydecoracion.com). Figures 1+1: Hug Me by

Si Chan, 2012 (https://www.notjustalabel.com/collection/sichan/hug-me-si-chan-aw12)
the V&A Museum in London. In 2013, become part of the Runway Incubator
in San Francisco with work/showroom space and the opportunity of business
investment from Fortune 500 companies.21
• Tytti Thusberg (1996) a Finnish slow fashion designer, artist and artisan dressmaker
in San Sebastian who recycles waste to make her clothes.22
• Ecolínea (2003) in Madrid, used recycling to promote employment for people at
risk of social exclusion, transforming Almodovar film posters into clothes, in 2005
they collected and reused 4 tons of pvc tarpaulins to create wallets, pouches, bags,
folders and cases.23
• Camper shoes created the « Together » brand (2006) working with international
designers Jasper Morrison, Hella Jongerius, Ronan and Erwan Bouroullec, Fernando
and Humberto Campana, and Jaime Hayon to create shoes from recycled and organic
materials, with ethical values.24
• Fun&Basics (2009) fashion accessories brand in Spain presents its Ecoalf textile
made from PET plastic bottles and fishing nets. In 2010 the brand officially changes
its name to Ecoalf and all their product collections are made from fabrics developed
by the company. In 2012 they are the first to obtain the B Corp certification in Spain
and the Ecoalf Foundation launches the Upcycling the Oceans project to help clear
waste in the Mediterranean in partnership with local fishermen.25
• Maria Rosenfeldt (2017), an it girl and daughter of the Spanish artist Ouka Leele,
reworks vintage and second hand clothing in her first collection.26
Clearly exciting innovation and creativity will make upcycling viable and appealing
and move designers towards circular design. However, in addition legislation to
ensure retailers, manufacturers and distributors is also needed, as we have seen recently
21
https://saakodesign.com/.
22
https://www.tyttithusberg.com/.
23
https://www.madridiario.es/noticia/821/gas-natural/hechos-de-desechos.html.
24
https://www.camper.com/es_ES/together.
25
https://ecoalf.com/es/content/27-upcycling-ocean-spain.
26
https://www.dezeen.com/2015/08/18/pharrell-williams-g-star-raw-ocean-plastic-clothing-range-aw-
2015/. Accessed 30 May 17
in France27, to ensure they take responsibility for the end of life of the clothing
they produce.
Working with the issues of waste and resources is leading to interesting projects. The
jean business is renown for its vast use of water in the production, dyeing and finishing
of cotton, several actions offer solutions by applying ingenuity. In 2012 Levi’s launched
its new line Waste < Less from made from recycled plastic bottles and food trays and
the brand Mud Jeans28 was created to lease jeans and after leasing the garment during
one year, consumers can swap them and continue leasing or return them for upcycling.
Clearing plastic waste is another preoccupation where the creativity of designers
and engineers has permitted great advances. In 2015, the musician Pharrell Williams
and the Dutch fashion brand G-Star launched the RAW collection29 of denim garments
made from recycled plastic removed from the ocean with the strap line: “Turning the
tide on ocean plastic pollution,” in collaboration with textile company Bionic Yarn and
environmental group Parley for the Oceans.
Changing to a sustainable model of business can, in fact, be very beneficial for a
brand’s awareness, quoting Donatella Versace “There’s no bigger luxury than our
future. The new Versace concept is a commitment towards Versace’s sustainable
legacy”30. Great news from a brand that until recently has ignored ecology issues.
7 In Conclusion: Our Brief
A holistic approach towards sustainability requires an investigation into the historical

context and evolution of the design sector in Europe in recent decades. Thus, (a) pro-
viding a theoretical framework and context for the role of a “sustainable” fashion
designer, (b) allowing the circular economy in this sector to be understood and applied,
(c) identifying the current context of fashion and (d) proposing new ways of action for
the designer in the case study: Humana + Esne Fashion Students Go-Circular Project,
are a must. Our appreciation of sustainability requires understanding how it began as a
relatively marginal concept to become a way of life that affects everything in our
lifestyle, the manner of governing with both local and international policies and the
social corporate strategies adopted by the brands that shape our economy [1].
The Esne Go-Circular Project is divided into three main phases: the first stage com-
prising research, context definition, and brief elaboration; the second one, related with
creative and development processes and; lastly, the third phase, having communication
and design implementation as main activities materialized in a fashion design show.
In this article we have presented the first phase of the project. The project aims to
start addressing circular economy issues in the Fashion Design and Graphic degrees
having as main objective to understand how students can incorporate this approach in
27
https://mudjeans.eu/mud-method.
28
http://www.ecotlc.fr/page-297-information-in-english.html.
29
https://www.heridadegato.com/spring-summer-17.
30
https://vmagazine.com/article/versace-joins-the-eco-revolution/.
their designs while working with and attending the needs of a real institution, such as
the NGO Humana, dealing with the upcycling of second hand clothing.
• The Esne Go-Circular Project, will develop a harvesting system for unwanted
clothing, identifying existing data and knowledge in Humana.
• Design a technique to incorporate old textiles in to new clothes (upcycling).
• Design the flow of the materials (waste necessary for or system-of-use/creation of
garments).
• Characterize the physical, human and social dimension (target public, characteris-
tics, user routines, etc.).
• Design and prototype an approach to sustainability, a product and/or system that
allows a method of incorporating used clothing to a new one (economic, low
technology, modeling, etc.), in addition to carrying out a SWOT analysis and
estimating the unit value of the product.
• Concluding with the annual Esne Fashion Show in the Philharmonic Theatre of Oviedo.
As presented, the students will create a fashion collection, attending the fashion,
branding and communication needs within the framework of the Circular Economy and
Sustainability. Through presented analysis, it was possible to make clear and bold two
critical domains of the briefing of the project: (a) the need to upcycle second-hand
clothes into a better perceived commodity and (b) the communication of the graphics
content in a responsible manner to inform consumers of the circular economy.
References
1. Caradonna, J.L.: Sustainability: A History. Oxford University Press, Hardcover ASIN:
B011DB2JMQ (2014)
2. Bonsiepe, G., Fernández, S., Fernández, S.: Historia del diseño en américa latina y el caribe:
Industrialización y comunicación visual para la autonomía. Blücher, São Paulo (2008)
3. De Moraes, D.: Limites do design. Studio Nobel, São Paulo (1997)
4. Gausa, M.: Tiempo dinámico-orden (in)formal: trayectorias (in)disciplinadas. Quaderns 222,
6–11 (1999)
5. Gibbons, M.: Changing research practices. In: Brennan, J., Fedrowitz, J., Huber, M., Shah,
T. (eds.) What Kind of University? International Perspectives on Knowledge, Participation
and Governance, pp. 23–35. The Open University Press, Buckingham (1999)
6. Manzini, E.: Design, When Everybody Designs: An Introduction to Design for Social
Innovation. The MIT Press, London (2015)
7. McDonough, W., Braungart, M.: The Upcycle: Beyond Sustainability - Designing for
Abundance. Editorial North Point Princeton, New York (2013)
8. Morin, E.: Introducción al pensamiento complejo. Editorial Gedisa, Barcelona (2007)
9. Pearce, D.W., Turner, R.K.: Economics of Natural Resources and the Environment. Johns
Hopkins University Press, Baltimore (1989)
10. Quan, A.: Integrating Sustainability Literacy into Design Education. DRS2016
Design + Research + Society Future-Focused Thinking, pp. 525–538 (2016)
11. Schön, D.: The Reflective Practitioner: How Professionals Think in Action. Basic Books,
New York (1983)
12. Stahel, W., Reday, G.: The Potential for Substituting Manpower for Energy. Vantage Press,
New York (1982)
13. Valtonen, A.: Designing Universities of the future. In: DRS2016 Design + Research + Soci-
ety Future-Focused Thinking, pp. 525–538 (2016)
14. WRAP Valuing Our Clothes: Valuing our customers: behavioral research and campaigns.
http://www.wrap.org.uk/sites/files/wrap/valuing-our-clothes-the-cost-of-uk-fashion_WRAP.pdf
Cultural Heritage, Collaborative Practices
and Sustainable Fabric Design: Ottoman
Sultans’ Life Stories on Jacquard Design
Pınar Arslan1(&), Ana Margarida Ferreira2,3,

and Hatice Feriha Akpınarlı1
1
Faculty of Art and Design, Department of Textile Design,
Ankara Haci Bayram Veli University, Gölbasi Campus,
06830 Gölbasi, Ankara, Turkey
pinar-arslan@windowslive.com, ferihaak@gmail.com
2
3
UNIDCOM/IADE - Unidade de Investigação Em Design E Comunicação,
Abstract. In the textile industry, the jacquard weaving industry is an important

branch. Jacquard weaving industry offers rich varieties thanks to computer-aided
design system used in pattern design. In parallel to changing fashion trends and
consumer perceptions, design of the jacquard fabric is as important as the tech-
nology used in design. In researches to determine fabric-designing trends, the
cultural perceptions embraced by the society are used. Accordingly, the themes
that reflect the experiences and practices of the society are incorporated in the
fabric designs. The fact that the designer emphasizes the culture of society and
uses it in fabric designs emphasizes the culturally rich design concept. The aim of
this research is to emphasize the social phenomena by making new designs
inspired by the life stories of Ottoman sultans in jacquard fabric designing. This
study was performed by scanning method. The population of the study was the life
stories of the Ottoman Sultans, while the sample of the study was the study of the
life story of the Ottoman Sultan “Mehmed the Conqueror”. Stories from the life of
Fatih Sultan Mehmed were compiled based on the resources available within the
scope of the study. Rumeli Fortress and the Map to which the Sultan attached
importance, were determined as the theme. Jacquard weaving technique and the
fabric patterns are created from in line with the themes and designed in detail from
sketching phase to digital design phase and produced as jacquard fabric. In this
study, the fabric designs and the images of the fabrics produced are included.
Keywords: Fabric design Jacquard weaving design Ottoman sultans

Life stories Mehmed the conqueror
1 Introduction
Culture is a synthesized concept formed as the result of several characteristics of the

society which create its own identity based on language, religion, genotypes, customs,
traditions, common historical experiences gone through. Also the culture of the society

https://doi.org/10.1007/978-3-030-20145-6_10
Cultural Heritage, Collaborative Practices and Sustainable Fabric Design 103
reaches to a level and gets shaped thanks to the lifestyle, belief, feeling, idea, value, art,
design mechanisms lasting for a particular time [1].
Art concept which is the product of human mind to transfer feelings and ideas
enables the originality of the designer and the culture which he or she has to be
transferred while it spread inspiration to produce new concepts and ideas. Also the
designer who is in contact with the society can observe the cultural environment.
Textile products can reflect the development level and other cultural values in a society
in terms of art. Therefore, the designers can grant place to their cultural values in their
design studies via art [2].
Weaves are the textile materials which have a large usage are varying from clothes
to interior decoration figures and have been used for a long time. Textile products have
had a usage purpose different than the covering purpose since past. To illustrate,
clothing has been the symbol of prestige, social status, special one’s desire to be
symbolized or shining out among the other people. They have been manufactured in
high values through intense efforts, endeavors with raw material of quality, color usage
and rich design understanding and sold and granted as special gifts for statesmen [3],
[4]. Weaving art in the Ottoman Period was under the protection and the control of the
palace since it made significant economical, commercial and social developments and
contributions to the treasury [5].
Mehmed the Conqueror who is an absolute authority figure in the state adminis-
tration and government used to reflect his regulatory and organizer identity during his
reign [6]. An important construct in this term is the construction of the organization of
Ehl-i Hiref. Starting with the transfer of the craftsmen from Edirne Palace to İstanbul,
Old Palace in the period of Mehmed the Conqueror (1451–1481) and then being
institutionalized, this construction had an impact on the style of the palace. The
craftsmen taking role in this organization provided opportunity of creating praise-
worthy works appreciated by people beyond the boundaries of the empire with their
original art and design works produced in compliance with the art principles and order
of palace [7].
Cooperation of the foreign craftsmen who were under the auspices of the palace
helped the creation of the palace art style. The craftsmen working within Ehl-i Hiref
organization attached importance for originality and creativity in their production and
they were in a struggle for constant development. Original production, qualified
craftsmanship and raw material in the creation of the product formed through naive
perspectives reflects that the art identity of the period was highly developed [8].
Rich traditional weaving understanding in Ottoman Empire where the labor was
blessed left its place to industrial weaving production with the development of the
technology. Joseph Marie Jacquard invented the jacquard machine which had an
electronical mechanism within itself at the beginning of 19th century [9]. Electronic
jacquard loom is a loom which can move the warps as in big groups and since warps
can be located differently thanks to the wide movement principle opportunity and weft
yarns can be organized in various ways, the designs with big reports and details are
easy to be produced. Computer-aided systems provides saving within time and creates
diversity in designs. Innovative fabric designs which are strong in terms of design are
of great importance in the production of jacquard fabric as the result of the ease in
technological opportunities [10].
104 P. Arslan et al.
The purpose of this study is to create jacquard fabric design where the life story of
Mehmed, the Conqueror, has been built by adapting the culture-oriented past effects to
current lives and transferring to textile products industrially in jacquard fabric designs.
Scanning and trial method have been used in the study. Data on the life of Mehmed the
Conqueror have been collected from various resources and within the scope of the
study. The Rumelian Castle, which is the symbol of the conquest of Istanbul by
Mehmed the Conqueror, his interest and curiosity towards mapping have been used as
theme in the designs. Designs based on this theme have been developed.
2 The Life of Mehmed the Conqueror
Mehmed, the Conqueror, the 7th Ottoman Sultan, was born in 1432 in Edirne which
had been the capital city of the Ottoman Empire. His father is II. Murat and his mother
is Hüma Hatun. The sultan who came to the throne for the first time when he was 12 in
1444 reigned for 1 year 9 months. Because of janissary revolts, his father took the
throne again. However, because of the death of his father in 1451, he came to the
throne for the second time and his reign term lasted for 30 years 3 months. He deceased
in 1481 [11, 12].
The most significant success of Mehmed the Conqueror, the Sultan of Ottoman
Empire who had a high military competency and consciousness, who was a competent
commander and showed his warrior spirit is assuming the title of “Conqueror” by
realizing the conquest of Istanbul. Unprecedented and determined Ottoman Sultan who
determined strong strategies and realized those strategies through his firm determina-
tion and reflected his warrior spirit participated in approximately 25 expeditions during
his reign lasting for 30 years [13].
The first step taken for the conquest of Istanbul which was one of his expeditions
was to develop a strategy which would rule over the Bosphorus. The Sultan who
examined the narrow places which posed obstacles for entrance and exits of Bosphorus
decided to have the Rumelian Castle constructed just across the Anatolian Fortress to
rule out Byzantine Empire. Three towers of the Rumelian Castle, one of which was
constructed on land and two of which were constructed in a way that they could control
over the sea and the security of Bosphorus was enabled. According to this, navigation
of the ships was brought under control in Bosphorus by brining the traffic of Black Sea
- Marmara transition under control and toll procedure was applied. And the ships which
broke this rule were sinked by being shelled [14–16].
Having an important castle role in the realization of the conquest of Istanbul which
reflects the struggle example of the period where the modern weapons and war methods
were used in advanced level, the Rumelian Castle was completed in 4 months, and
therefore, a tour de force of Turkish army in Bosphorus was deeply felt [17]. Following
the struggle which lasted so long, Byzantine army lost on 29 May 1453 and the war
ended up with unprecedented victory of the young sultan who closed the Medieval who
said that: “Either I take Byzantine, or Byzantine takes me!” [18]. Barbaro [19] men-
tioned about the prophecy about the splendid victory of the Conqueror that the Con-
quest of Istanbul would be realized when the moon on the sky gave the sign and the
other prophecies about the victory.
Having a distinctive place among Ottoman Sultans, Mehmed the Conquerer reflects
an emperor example which is an East and West synthesis with his intellectual identity.
The Conqueror who gave life to conventionalism but felt pleasure in modernism and
adapted it to his life had the characteristics of being a sultan who knew various
languages such as Greek, Persian, Arabic, etc. had deep history knowledge and interest
in different cultures in art and literature [17, 20–22].
The value attached to both art and craftsmen in the period of the Conqueror in the
Ottoman Empire topped out and thus Ottoman Sultans continued art occupations by
being interested in music and poetry. Mehmed the Conqueror who had interest in fine
arts attached importance in works in poetry and music fields as well as the painting art.
He expressed his feelings with a deep and naive soul, enthusiasm, love and his whole
sincerity in his poems under the pseudonym of Avni [23, 24].
Mehmed the Conqueror supported scientists and craftsmen and took care of sci-
ence, culture and science works during his period. With the effect of science renais-
sance, Istanbul turned out to be a culture bridge where East and West met with each
other. Significant scholars of the term were interested in religion (İbni Humam, Hızır
Bey, Hayali Ahmed Efendi, Mustafa Muslihiddin Hocazade, Kestelli ve Molla Lütfi),
mathematics - astronomy (Ali Kuşçu) and medicine (Şerefeddin Sabuncuoğlu). Along
with this, the Sultan was especially interested in geography. Because of the curiosity
towards the maps, he had Geographike Hyphegesis by Batlamyus (Ptolemaios)
translated by a scholar named as Gregios Amyrutzes in his period [25].
In line with the events in the life of Mehmed the Conqueror, the following subjects
are included in the study.
1. Design: Cartography Hobby of Mehmed the Conqueror
“One of the hobbies of the Sultan that was almost an obsession for him, was
cartography. Under his rule, Venetian mapmakers would compete to offer the sultan
the best map. He commissioned an Arabic translation of the Geographike Hyphegesis
of Batlamyus (Ptolemaios) and also a world map from Georgios Amiroutzes and his
convert son Mehmed. There is also a map depicting Istanbul of Mehmed II’s which that
was printed in Europe during Selim II’s rule, which is known to have been prepared by
the order of Mehmed II” [26].
The themes of map, compass have been handled starting from this story (See
Figs. 2 and 3).
2. Design: Mehmed the Conqueror and the Rumelian Castle
The stories as the theme in the design on the Rumelian Castle are as follows;
Mehmed II’s words to the envoys of the Byzantine Emperor during the construction
of the Rumelian Castle
When Mehmed II started the construction of Rumelian Castle to cut the supply lines
of Constantinople, control the Bosphorus and to ensure the safe passage of his armies
and supplies in order to ease the conquest of Constantinople; the Byzantine emperor
sent his envoys to protest.
After listening to them the Sultan explained to them that the castle was built for a
just purpose and was necessary for the safety of the strait. But he got angry when the
envoys insisted:
Your emperors’ best hopes and desires cannot grasp the reach of my power. I will
allow your return this time. But if more envoys with the same message arrive, I will
make sure to skin them alive!
He sent the envoys away. According to a narrative, the Emperor got so afraid that
he even sent food for the people working on the construction.
The plans of the Rumelian Castle on the narrowest point of the Bosphorus were
prepared by Architect Muslihuddin. In some sources, quoting from Evliya Celebi’s
Seyahatname, it is argued that the castle was designed to reflect the Arabic writing of
the name of Prophet Muhammad [27].
The plan of the Rumelian Castle
“The castle, whose plans were prepared together by the Sultan and Architect
Muslihuddin and in whose construction even the Sultan himself worked to carry stones
together with six thousand other workers who labored day and night in the sweetness
and excitement of belief and faith, was finished in the unbelievable duration of one
hundred and thirty-two days.
The castle was constructed to reflect the Arabic writing of the word “Muhammad.”
[28].
Starting from this story, key words of the Rumelian Castle, tower were inspired.
3 Jacquard Designs Inspired by the Themes
I made sketches about the key words of map, compass, Rumelian Castle and tower
which are the source of inspiration in jacquard fabric design within the study. Fol-
lowing route was followed in pattern drawing in black and white, color search and
produced jacquard fabric design (See Fig. 1).
Fig. 1. Jacquard fabric design process
The theme was specified by getting inspired by the key words explained before at
the first step of jacquard fabric design and sketch drawings of the fabric designs were
made (See Fig. 2).
Fig. 2. Practices of sketch (Arslan, 2018)
The most suitable one among the 14 different sketches related to the story of
cartography curiosity of Mehmed the Conqueror for the theme. When the design is
reviewed in detail, map and coordinate lines symbolize the map passion of Mehmed the
Conqueror, compasses symbolize finding directions and leftward bird’s-eye segment of
Fig. 3. Black and white sketch drawing [left], color research [right] (Arslan, 2018)
the map symbolizes the tent of the Sultan. Firstly, the design was made by hand
drawing in black and white, and then color search to be used in the pattern was
conducted (See Fig. 3).
At the last step, the design was scanned on the scanner and transferred into the
jacquard weaving program. 4 different operation steps in the sketch design are:
Redrawing of the unit design for 20 20 which took place in jacquard fabric
design over the program was carried out (Fig. 4).
Fig. 4. Unit design [left], redraw unit design in the programme [right] (Arslan, 2018)
Pantone colors of the design of which sketch was completed have been determined
and 8 different colors have been used to color the design where cream is used at the
bottom of the fabric, black is used in lines of the map, light turquoise and dark blue are
used in lines of the map; dark turquoise, red, yellow and indigo blue are used in the
compasses, moon and tent (Fig. 5).
Fig. 5. Colored of unit design (Arslan, 2018)

The design of colored jacquard fabric was reiterated for size and length in a
composition format as it will be suitable for 60 warp, 13 weft density and jacquard
capacity for 2400 (Fig. 6).
Fig. 6. Rapport of jacquard fabric design (Arslan, 2018)
Technical information of jacquard fabric of which design was completed and which
consists of single warp and 5 wefts (cream in warp, yellow, black, turquoise, indigo
blue and red in weft) was saved in the warp and weft information fields in the program.
After the technical information on warp and weft and jacquard composition were
saved, warp assignment to the colors in the jacquard fabric design was made one by
one. According to this, complex warp was obtained by assigning different warps to 5
wefts which were used in jacquard fabric to obtain floor color. Complex warp was
obtained by assigning different warps to 5 wefts which were used in jacquard fabric to
obtain the colors used in the pattern. After the warps and corner warps were set into the
program, jacquard fabric patter became ready to production process (Figs. 7, 8 and 9).
Fig. 7. Front view of the weaved jacquard fabric pattern (Arslan, 2018)
This study explained the methods used in the creation of the jacquard fabric design.
As the same, Jacquard fabric design has been made and weaved by reiterating the same
stages in the second design with the theme of “the Rumelian Castle” created by getting
inspired by the construction of the Rumelian Castle for the Conquest of Istanbul by
Mehmed the Conqueror (Fig. 10).
Fig. 8. Back view of the weaved jacquard fabric pattern (Arslan, 2018)
Fig. 9. “Map” themed jacquard fabric (Arslan, 2018)
Fig. 10. “Rumelian Castle” themed jacquard fabric (Arslan, 2018)
4 Conclusion
Just like for each type of the design, maintaining design in textile product designs
based on traditions and cultural foundations in today’s world is of great importance for
preserving and experiencing social characteristics. Original and effective designs in
jacquard fabric designs can be put forward as long as we emphasize that we have the
inspiration sources within ourselves and underline this fact by the events integrated
with our own culture in order to prevent the increase of cultural products’ homoge-
nization reinforced by the current technological capacity (Fig. 9).
Historical period when Ottoman Empire reigned, Ottoman Sultans took their places
within the history stage with their own various life characteristics. Mehmed the Con-
queror who broke the grounds has a distinctive place among the Ottoman Sultans.
Since the Sultan has drawn attention with the Rumelian Castle, which is the symbol of
the Conquest of Istanbul, the historical victory of the Sultan whose majority of life
passed through expeditions and his interest in maps, fabric designs have been focused
on these details. As the result of the inspired stories, culture-bases sustainable jacquard
fabric designs have been produced. This study is an example of using the cultural and
exclusive experiences of the societies in fabric design. Reproducing these designs
enables putting forward original and innovative designs and creating new trend fabrics
by transferring the characteristics of the country of which experiences are reflected in
the designs into weaved fabric sector (Fig. 10).
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The Common-Sense Assessment
of Sustainability
David Camocho1,2,3(&), José Vicente2, and Ana Margarida Ferreira1,2

1
david.camocho@gmail.com,
2
jmanvicente@gmail.com
3
Laboratório Nacional de Energia e Geologia, I.P.,
Estrada do Paço do Lumiar 22, 1649-038 Lisbon, Portugal
Abstract. Products claiming sustainability benefits have been spreading all

over the world in response, manly, to the consumer’s behavior change towards a
healthier and more sustainable way of life.
However, what guarantee do consumers have that the products they are
consuming are in fact more sustainable? Apart from certified products, the
consumer believes in a common-sense assessment of sustainability supported in
part by self-declarations and allegations from designers, producers, and retailers
focusing only in few aspects of the life cycle, and in some cases, misleading
consumers through greenwashing approaches.
This paper is part of a Ph.D. research aiming to support a transition to circular
economy and sustainability through design. The authors explore in this article
the consumer perceptions of sustainability in products and communication
strategies adopted. The results will support the development of guidelines to
promote a more effective design practice for the development of sustainable and
circular economy-based products.
Keywords: Design Circular economy Consumer perception

Common-sense assessment Sustainability assessment Sustainability
1 Introduction
The paper presents the research under development which aims to help the transition to
a more sustainable and circular economy through design. The authors believe that
design practice has a crucial role in defining the characteristic of the products and
services that fulfill the needs of society. Also, that their impacts in the life cycle are
defined in the design and development phase. In order to promote design and the
practice of design, it is important to understand how eco and sustainable products and
services are developed and placed on the market, how they communicate to users their

https://doi.org/10.1007/978-3-030-20145-6_11
The Common-Sense Assessment of Sustainability 115
profile; how consumers understand that information; and which are their perceptions
about the profile of products. To integrate successfully circular economy, a holistic
approach is fundamental considering all aspects from the production to consumption.
In this paper, the authors look to one part of the process related to the communication
on products and the consumer perceptions of sustainability aspects.
Today, designers and product developers face a new challenge. The design practice
has been recognized as a catalyst to transition from the traditional model of take-make-
dispose to achieve a more restorative, regenerative and circular economy. To attend the
needs for circular economy, products need to be designed for closed loops and adapted
to generate revenues [1].
Design for circular economy, like design in general, has the responsibility of
responding to product-service system problems, integrating various criteria and
expertise in problem-solving in an innovative way adjusted to the needs of users,
businesses, and society’s dynamics as a whole [2]. In the circular economy approach,
the designer has the function of translating the strategies and concepts of circularity in
the development of products, services, and systems that promote an efficiency and
sustainable transition from the current linear model to a circular model focused on
narrowing, slowing and closing resources cycles [3], in the efficiency and sustainability
of the entire system [4], however, there is a need to provide design practitioners,
business stakeholders, and other product developers guidelines and practices of how to
apply particular design strategies for different circular business models [1, 3].
Product design directly influences the way a value chain will be managed. Building
circular and sustainable value chains inevitably imply a fundamental change in the
design practice [5–7].
To develop innovative, efficient and sustainable products, the designers should be
able to translate the needs from several actors in the value chain. The needs of the users
who will buy and consume the products, the ones from the business, who will develop,
produce and place them on the market and the ones from Society, who will indirectly
benefit or suffer with the sustainability impacts of the products. These processes and
concerns have been influencing the design practice since many decades along the
development of the eco-design, and design for sustainability with relative success in
some niche markets, but not in a large scale as expected.
Nowadays, a new approach is being developed on a global scale based on a circular
economic model. Yet, in order to be practical and successful, our society needs
innovative products and services that supply the needs of consumers and businesses
complemented by a more informed and accurate sustainable consumption behavior.
116 D. Camocho et al.
Fig. 1. Four pillars to circular production and consumption
For a successful transition to a circular economy through the design of products and
services, it is essential to have a holistic vision based on an approach that integrates
four fundamental pillars (Fig. 1):
– The business of the companies responsible for placing the products on the market.
In this context, it is important to understand which the needs of companies are, and
how they can generate wealth and growth. Many of the sustainability projects
developed, despite presenting innovative concepts and sustainable solutions, did not
respond to the needs of the business and failed to penetrate the market, thus leaving
behind solutions that could have had significant impacts. It is in this pillar that
designers must be able to implement methodologies and tools (eco-design, design
for sustainability, design for the circular economy, etc.) for the development of
innovative and efficient solutions.
– In the second pillar, it is important to provide the products with direct and indirect
information that allows the consumers to perceive the message conveyed. In this
regard, labels, certification and other intrinsic characteristics that products must
contain in order to communicate with consumers.
– The third pillar is related to the importance of knowing the consumer. Relatively
little is known about consumer perceptions as a pre-decision mechanism that impact
their preferences and choice behaviors [8]. Which are the behaviors of consumers
and their needs? It is fundamental to be able to effectively translate these needs into
the design project. On the other hand, although there is already a growing aware-
ness, the way consumers perceive sustainability issues is not always the right way,
or they are influenced by socio-economic factors that divert the focus. There is a gap
between attitudes and behaviors. The levels of concern and awareness of the need to
change consumption styles are high in general. However, this is not accompanied
by the adoption of more sustainable consumption styles [9].
– In a fourth moment, in order to close the cycles of products and materials in line
with the concept of circular economy, it is necessary to adopt an approach that
integrates circular economy strategies aiming to close resource cycles through the
valorization of products and materials. A holistic approach, focused on the role of
design, adopting various methodologies and tools at a strategic level, could allow
the transition to a more efficient, healthier and more circular economy.
In the next section, is explored how sustainable products are placed in the market.
2 Eco/Sustainable Products
There are several terminologies to define products with improved profiles. Eco prod-
ucts, green products, sustainable products, circular products, and many other terms.
Within this research, the authors aim to explore products that have a better sustain-
ability performance considering their life cycle and products that are placed on the
market claiming those features. Therefore, it was decided to use the term “Sustainable
products” which is a more comprehensive term that includes all the other concepts.
2.1 Types of Products

According to the specificities of the product and to the strategies of the producers,
distributors and other stakeholders, within the current research, the products were
defined according to four different typologies:
2.2 Type A: Silent Products

These are more eco-efficient and sustainable products that were developed considering
sustainability aspects in their process, however, these aspects are not communicated to
the user/client.
The sustainability aspects (environmental, social and economic) can be important
factors for the innovation of the product, their efficiency, quality, etc. However, the
company does not communicate it as part of their strategy.
2.3 Type B: Naturally Sustainable

These products due to their characteristics, materials, production process, etc., have a
good sustainability profile. In their development process, sustainability measures and
tools were not considered, but, in the end, the result is a sustainable product.
2.4 Type C: Eco/Sustainable Products

These are the products that were developed with sustainability objectives. In their
development, methodologies and tools were applied to support the creation of products
with reduced impacts in the product lifecycle compared to previous products of the
same type.
2.5 Type D: Sustainability Influencers

These are products that per se are not sustainable, but when included in a system they
have a positive influence on the overall performance of the system. This type of
products includes also the ones that influence users to have a more sustainable
behavior.
In our society today, we face several gaps that may jeopardize the future success of
circular economy approaches. One important topic is the gap between what producers
and business place on the market and how the consumer perceives the sustainability
features and information. Many products include certification labels and information
that the consumer does not recognize and do not appreciate it.
Another gap is the difference between what consumers say and what they actually
do. Several studies show this problem [10, 11].
How the information on the sustainability profile of products reaches the consumers
is presented next.
3 Sustainability Communication in Products
To promote the information and awareness of consumers about the sustainability

profile of products, several methods have been used, such as campaigns, green mar-
keting initiatives, and claims. The most adopted and successful ones seem to be eco-
labeling schemes which rely on credible informative instruments.
Environmental labeling or eco-labels are important tools that companies can and are
using to communicate and guarantee that their products and services comply with
environmental requirements beyond what is established by law. The use of labels as part
of an effort to make green claims more trustworthy, providing the consumer with clear
and homogeneous information on the environmental aspects of products and services,
avoiding confusing information and influencing greener consumer choices is empha-
sized by the European Commission in its Action Plan for the Circular Economy [12].
Companies have at their disposal many environmental labeling possibilities, some
of them are regulated under International Standards, based on the ISO 14020 family
standard, while others, do not meet this requirement. According to ISO, there are three
types of environmental labels:
– Type I labels (ISO 14024): “third party” labels that indicate voluntary conformance
to pre-determined, multi-attribute criteria that identify environmentally preferable
products within a particular product category, based upon life cycle considerations.
– Type II labels (ISO 14021): self-declarations made by manufacturers, importers,
distributors, retailers, etc., focusing on environmental improvement of some specific
aspect of their products, such as energy consumption, compostable, degradable
indoor air quality, recycled content, etc.
– Type III labels (ISO 14020 and 14025): These labels, often referred to as Envi-
ronmental Product Declarations (EPDs), present comprehensive product informa-
tion based on quantitative validated Life Cycle Assessment (LCA)
As said before, there is a wide and growing range of possibilities to inform about
sustainability criteria or content. Nonetheless, companies will have to be proactive and
assure that their messages do not get lost or fall victim to incorrect perceptions [8].
Although, do consumers perceive the information included in product communi-
cation conveyed by companies and it influences, in fact, their choice? These concerns
were subject of a survey carried out to consumers in Portugal.
4 Consumer Perceptions
Production and consumption have a symbiotic relationship that must be nurtured,

educated and promoted with a sustainability perspective.
The market is shaped and reshaped continuously by the consumers through the
messages/information about consumption, purchasing choices and practices they send,
directly and indirectly, in a conscious or unconscious manner to decision makers in
governments, industries, business, designers and other stakeholders in the value chain.
Companies also create needs and demands by placing more and more products on the
market. Thus, the way our society consume will determine supply and the way pro-
duction is organized will influence demand in a complex and symbiotic relation.
Several studies demonstrate that the sustainable behavior is changing, and the
awareness is high and increasing in most consumers segments. There has been a
growing trend in informing consumers about the environmental aspects to take into
account when buying products [13].
If a consumer wants to buy a more sustainable product, it is difficult to have sound
comparative information. The data consumers need to compare impacts in products is
usually missing, incomplete, or even, not reliable. Apart from products with certified
labels, consumers only have access to information regarding the features of the product
in terms of price, technical characteristics, and marketing information [14]. Even
products that claim to be sustainable do not have often clear and trustful information.
The consumer believes in a common-sense assessment of sustainability supported
in part by self-declarations and allegations from designers, producers, and retailers
focusing only in few aspects of the life cycle, and in some cases, misleading consumers
through greenwashing approaches. In this sense, it is important to understand which the
consumer’s perception of the sustainability profile is and what are the physical attri-
butes of corresponding artifacts.
Making informed decisions about what to buy also helps in achieving a more
sustainable approach [15]. The information gap between producers and consumers is
still a huge flaw in our society. The ignorance and lack of information hinder the
efficiency of the market while sound and reliable information let consumers make a
smarter and conscious choice [14].
Another important aspect to consider is the lack of consumer awareness regarding
the link between their personal behavior and the direct impact on the environment or
society [10]. In this regard, we must define the type of consumers with sustainability
concerns. According to the study “Identifying the green consumer” by Arminda Fin-
isterra do Paço, we can define three main types of users [16]:
Type 1 – The uncommitted, composed mainly by young people with high edu-
cational levels, and living in urban environments. This group claims to have
knowledge about the issue; however, this segment has very negative behaviors in
relation to environmental aspects.
Type 2 – ‘The green activists’, composed by individuals with the highest education
levels, have a favorable position in relation to all environmental aspects, particularly
towards perceived efficiency, environmentally friendly buying behavior, recycling,
sensitivity to the economic factor and resource saving. The segment tends to be
sceptical about the promotional and advertising claims made by firms.
Type 3 – ‘The undefined’ consider that their individual action does not contribute
to the improvement of the environment. This segment includes individuals with
lower educational levels than the other segments and has very negative positions
towards environmental issues. Claiming to have little knowledge about environ-
mental issues, they have a positive attitude towards recycling and are highly
sceptical about the promotional and advertising claims made by companies.
However, the environment does not occupy a prominent position among their
concerns.
By knowing the types of products defined above, the types of consumers and their
perceptions, the design teams can manage the design practice in a more effective and
more successful way.
4.1 Method to Assess Consumer’s Perception of Sustainability

in Products
To better understand consumer habits, perceptions and general knowledge regarding
the sustainability aspects of products and their knowledge on communication elements
of a product such as labels, certifications, self-declarations, etc., was applied a survey in
January 2019 to collect data from Portuguese consumers, using two different approa-
ches: (a) an online questionnaire built with google forms with potential survey
respondents contacted through social media and email databases to participate by filling
in the form online; (b) a paper version of the questionnaire, aiming to broader dis-
semination and a collection of feedback. The questionnaire was composed of 5 sections
and was based in a trade-off between the complexity/length and the amount of data to
collect.
After the introduction, aims and objectives of the survey, the first section of the
questionnaire included basic questions regarding the demographic characteristics of the
interviewee. The second section was built to access the knowledge regarding eco-
design, design, sustainability, and circular economy.
Section 3 included questions to evaluate consumer habits and the influence of
environmental labeling on products.
In Sect. 4, through images of products, the aim was to understand if the sustain-
ability perception of the consumer corresponds to the reality and how consumer rate
sustainable products based only in perception.
To end the survey, Sect. 5 included an area to add remarks, suggestions, ideas and
the indication to follow the research.
5 Findings/Analysis
With the main objective of identifying the consumer perceptions regarding sustainable
products placed on the Portuguese market, the authors did a study, understood as a pre-
test, based on a sample of 105 individuals aged over 18. Since the questionnaires were
sent by social media, and the respondents were asked to share the questionnaire with
other consumers, it is difficult to have concrete numbers of the scope of the research.
However, it is estimated that around 500 individuals were sent questionnaires, repre-
senting a response rate of around 20%.
The sample, composed by 105 individuals includes 55% women and 45% man with
different educational levels, 36% graduation, 31% 12° year, 24% master, 5% less than
12° year, 3% Ph.D. and 1% with a professional degree, with a diversified professional
activity. From the total number of questionnaires, 75% consider having a sustainable
behavior in daily activities, which also is a clear indication of the gap between what
consumer say and what they really do. When analyzing this data by gender, between
male and female respondent we do not identify a significant difference, 70% male and
78% female consider having a sustainable behavior. The difference in behavior
according to education is also not relevant, 73% in respondents with higher education
and 79% in lower education respondents. This is in line with several consumer surveys
like for instance, the sustainable consumption paradox referred by Vringer Kees when
studying the Dutch consumers [11].
5.1 General Knowledge in the Field

To access the knowledge in the topic, respondents were asked to express their per-
ception of knowledge regarding Design, Ecodesign, sustainability and Circular
economy.
The majority of the respondents claim to have basic notions about the 4 concepts
(in average, around 78% consider to have basic notions or above), and in general, the
concepts with a higher knowledge level is sustainability (49% have basic notions, 30%
high level of knowledge and 6% are experts in the field) and Design (51% have basic
notions, 22% high level of knowledge and 12% are experts in the field) and the less
knowledgeable level is circular economy (18% do not know the concept and 24% have
heard about it, which is understandable, since it’s a new concept for the majority of
respondents.
5.2 Sustainability Attitudes and Practices

When questioned about their practices, only 7% do not make a waste separation for
recycling, 2% do not apply water saving measures, 9% do not buy organic products and
9% do not buy sustainable products.
As shown in Fig. 2, consumers claim to have sustainability considerations in their
day-to-day life, especially in the separation of waste for recycling. The purchase of
sustainable products, in general, is one that has a lower application rate.
Fig. 2. Sustainability attitudes and practices
5.3 Influence of Ecological and Sustainability Factors in the Acquisition

of Products
The influence of these factors is considered moderate to high in most of the cases. In all
types of products included in the survey, only less than 30% consider that sustainability
criteria do not influence their choice.
5.4 Influence of Labels and Environmental Certification in Purchasing

Decision and Related Trust in the Allegations
Most consumers (76%) indicate that labels and certification influence the selection of
products. However, only 18% have a high level of confidence in the allegations, 62%
have a medium level of confidence, 19% a low level and only 1% do not trust in the
allegations form producers.
5.5 Knowledge About Labels

To access the knowledge about products’ label included, a selection of 10 units was
displayed and consumers were asked to express if: (a) they know the label and its
meaning; (b) they recognize it but do not know what it is, or; (c) they do not recognize
the label at all. From the analysis, was possible to conclude that in most of the
examples, the consumer do not know the labels or do not know the meaning of it. In the
case of the European eco-label - only 26% know the label and the meaning, 32%
recognize it and 42% do not know it. Regarding Cradle to Cradle, 65% do not know the
label and only 13% know it.
The more known labels are the Green Dot Society symbol (EoL packaging man-
agement system in Portugal), the Energy efficiency label and the recycling symbol.
These are known by more than 90% of the consumers.
The labels that are less known are the Cradle to Cradle, the European eco-label, the
Fair-trade label, and the Euro leaf.
5.6 Perception of the Sustainability Profile of Products

To access the perception of consumers, the questionnaire presented 3 products to serve
coffee, a ceramic cup, a paper cup, and a polystyrene cup. Based on the images and
indication of the material, consumers were asked to indicate which one they consider
more sustainable and less sustainable.
The examples in the questionnaire were selected form the LCA study Disposable
Cups vs. Reusable Cups developed by Carbon Clear [17].
The product considered more sustainable was the Ceramic cup (75%), followed by
the paper solution (23%). The polystyrene was indicated as the more sustainable by 2%
of the sample.
When asking about the more sustainable solution, despite the fact that the majority
have selected the ceramic, a relatively high percentage of consumers considered the
paper as more sustainable. This asymmetry can be explained by the absence of the
indication of the functional unit. Some consider the ceramic artifact because it can be
used several times, while the others may have considered only one unit of each product,
not considering the number of paper cups that are necessary for long-term use.
However, when asked to select the less sustainable, 90% of the consumers selected
the polystyrene product and 2% the ceramic product.
According to the LCA study performed by Carbon Clear, based on the energy and
emissions required per 2,000 servings for paper, polystyrene and ceramic cups the
ceramic is the more efficient solution and the paper is the less efficient one.
This means that the perceptions of most consumers regarding the more efficient
solution were correct. However, their perceptions regarding the less sustainable solu-
tion were wrong in 90% of the cases.
6 Conclusions
Our society is changing along with the way we produce and consume. Nevertheless, to
have a positive impact under the sustainability framework we need to change radically
our approach and the business models from the past. Despite all the efforts being done,
Our world is only 9% circular [18], and the changes implemented still don’t have a
positive impact on our society.
The availability and dissemination of products and services with sustainability
considerations is increasing worldwide, though sustainability in most cases, is still a
marketing flag or a greenwashing tool.
In the current approach on the transition to a circular economy aligned with the
European and national objectives, it is fundamental to understand where we have failed
and learn with the errors from the past to define an effective approach based in the
relation between production and consumption and the translation of the needs from the
consumers, the needs of the business and the needs of society in the development of
new products, services and systems.
Regarding consumers, which were the main focus of this paper, we are facing
remarkable changes in the sustainable behavior. In general, consumers, are more aware
of the societal and environmental problems and challenges and demand for new and
better products and services. Yet, the gap between what is placed in the market by
producers and what the consumer perceives is an important issue to overcome. The
communication on products, the inefficiency of labels for the most users who do not
understand these topics needs to be designed in a more efficient way.
The survey undertaken indicates that consumer believes in a common-sense
assessment of sustainability based on their perceptions, which are not always correct
and are partially supported in part by self-declarations and allegations from designers,
producers, and retailers focusing only in few aspects of the life cycle, and in some
cases, misleading consumers through greenwashing approaches.
For an effective transition to a more circular and sustainable economy, the market
and consumers perspective has to be integrated into a holistic approach through the
design practice.
7 Further Research
For the above-mentioned holistic approach, the next steps in the current research will
be the analysis of the designers and product developers’ perceptions, methods, and
approaches on the development of sustainable and circular products. How designers
translate the user and business needs in product development, which methodologies
and tools are applied in practice to integrate sustainability and circular design strate-
gies, will be some topics addressed and under scrutiny.
References
1. Moreno, M., De los Rios, C., Rowe, Z., Charnley, F.: A conceptual framework for circular
design. Sustainability, Switzerland (2016)
2. Ferreira, A.M.: Caracterização e Quantificação da Inovação no Processo Evolucionista do
Design: análise de um século da prática médico-cirúrgica em Portugal, Dissertação para a
obtenção do Grau de Doutor em Engenharia de Produção. Universidade da Beira Interior,
Covilhã (2008)
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friendly and sustainable terms. Agric. Resour. Econ. Rev. 44(1), 21–34 (2015)
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GFK (2016)
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consumer behaviour. Design J. 14(4), 427–445 (2015)
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Papers, No. 84, OECD Publishing, Paris (2015)
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(2015)
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consumer behaviour when purchasing products. Sustain. Dev. J. 31(July), 20–31 (2008)
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Broadway Books, New York (2009)
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consumption & production: three planets, (responsible consumption & production: why it
matters) (2016)
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consumer: a segmentation study. J. Target. Meas. Anal. Mark. 17(1), 17–25 (2009)
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clear.com
18. Circle Economy. The circularity gap report, 36, January 2018
Collaborative Practices Through Design
and Engineering: The Phases of a Pilot Project
to Improve the Human Condition
of Vulnerable Communities
João Bernarda1,2(&), Ana Margarida Ferreiral1,2,

Carlos Santos Silva3,4, and Rui Costa Neto3,4
1
{joao.nbernarda,
ana.margarida.ferreira}@universidadeeuropeia.pt
2
3
IST, Instituto Superior Técnico, Av. Rovisco Pais 1,
1049-001 Lisbon, Portugal
{Carlos.santos.silva,costaneto}@tecnico.ulisboa.pt
4
IN+, Center for Innovation, Technology and Policy Research,
IST – Instituto Superior Técnico, Lisbon, Portugal
Abstract. This paper presents a pilot project, developed under a research Ph.D.
framework, showing that the multiplicity of actors from different branches allow
the construction of innovative and framed projects. This dynamic and open
process result in knowledge, skills and competences construction among
themselves and, above all, their applicability in the context of social interven-
tion. This reality emerges the need for integrated multidisciplinary social agents
that are an added value for society, analyzing the capacity of cooperation
between two different but complementary scientific areas of projectual nature,
although with different methods and the practices, Design, and Engineering. The
developed prototypes were analyzed quantitatively and qualitatively allowing
the researchers to perceive some restrictions when assembling the different
materials tested, for a solution more focused on the usability/mobility bearing in
mind issues such as budgetary matters and product symbolic character, its main
characteristic, related to the thermal efficacy.
Keywords: Co-design Collaborative methodologies Product innovation

Homeless people Urban communities Social sustainability
1 Research Worldview
The intervention approach defined for the development of a project that responds to the
needs of the most vulnerable groups and communities of social exclusion, identified in
Lisbon, is based on a pragmatic and participatory approach through the collaboration of
different sciences for the development of a proposal.

https://doi.org/10.1007/978-3-030-20145-6_12
Collaborative Practices Through Design and Engineering 127
In the participatory intervention model, the compiled information from the public is
provided by social agents who have the capacity to examine, describe and facilitate
applicability in order to change the situation of the person through the construction of
an alternative that desirably triggers their emancipation from the current psychological
or physiological state. The collection of data through practices to identify opportunities
also allowed us to obtain a set of data that updated us on the current state of the
situation of these communities, more specifically the elderly in isolation and the
homeless, which can be distinguished in the two qualitative and quantitative strategies
(Fig. 1).
Fig. 1. Intervention with homeless person in Lisbon (photo by Cofina Media)
As has been reported and according to data obtained by the national media, it was
possible to register, in November 2018, more than 4 thousand homeless people in
mainland Portugal, some 1500 in the metropolitan area of Lisbon (Lusa Agency).
According to data from the City Council, a growing number of elderly are in isolation,
which can define about a quarter of the population in Lisbon This perception led to the
creation of recognition programs (Radar Project, 2018) in order to obtain viable
numbers and factual data, about needs and risks of urban citizens.
Both targets (seniors and homeless) reported different data from the context under
study from a narrative and practical perspective. It is intended to effect a behavioral
change favoring improvement, state progress, capabilities, development and social
justice [1]. Participatory action research favors commitment to the cause, making it an
actor, agent of change and facilitator of practices and it was in this sense that the
present case study was developed [2].
128 J. Bernarda et al.
2 Collaborative Practices and Social Intervention
In order to know the reality, it was crucial to work with some of the entities that operate
in the field, in direct or indirect relationship with the most disadvantaged. The main
objective is to defend fundamental human rights and ensure that everyone has the
necessary conditions to exercise citizenship and a dignified life. Also important is to
promote an ecosystem that allows the participation of people from different branches in
the fight against poverty and social exclusion, networking and the involvement of the
entire civil society. On these matters, it is possible to say that each day design becomes
closer to citizens and more aware of the role it plays in culture, politics and society
(EAPN, 2017).
With the purpose establishing and stimulating an interaction between institutions,
groups and people who work in the field fighting against poverty and social exclusion
and in order to collaborate in the design of action programs and social policies to
encourage the promotion of (a) innovative actions, (b) social integration and (c) cul-
tural, economic, moral and physical development of people living in situations of
poverty and social exclusion, it was crucial to know better those that are closer to the
users. We are talking about non-governmental organizations whose foundation was
based on improving the quality of life of the population and contributing to their well-
being, such as Santa Casa da Misericórdia de Lisboa (a non-profit Portuguese Catholic
secular organization), EAPN (European Anti-Poverty Network), ACA (Associação
Conversa Amiga), Comunidade Vida e Paz and Legião da Boa Vontade, as well as the
administrative divisions of the Municipalities, Junta de Freguesia da Estrela and Polícia
Municipal de Lisboa, with whom it was also possible, despite all the restrictions and
availability, to establish systematic contacts and share knowledge about each stages of
the intervention (Figs. 2 and 3). The stages can be named as problem definition,
situation analysis and social diagnosis, were the knowledge about the target is collected
and organized to trigger project development and implementation stages After the
implementation of the project, an evaluation of the results is necessary in order to
evaluate the changes in the various factors (material, emotional, social, psychological,
intellectual and relational) and, finally, the end of the action [3].
In a context in which two target audiences are increasingly worrisome, namely, the
elderly in isolation, with an estimated a number around 30,000, and homeless indi-
viduals, about 350 in Lisbon, the motivation to undertake a pilot project between
Design (IADE-U/EU) and Engineering (IST) was worthy of notice. The intervention of
these disciplines in social action aims to trigger new practical methodologies focusing
on the concept of behavior’s change.
These practices left open a reflection on the integrated collaborative and multi-
disciplinary processes, lighting up the opportunity for new collaborations together with
the social intervention units. This understanding will be contributing to a new civi-
lization based on new ways of acting, being and intervening, accentuating the direction
of a modernity fluid by the potentiality of new adaptation, transformation and rhythmic
capacities equivalent between the sciences and dynamics of methodological and the-
oretical transformation that will result in actions or projects that materialize the change
in interventions [4, 5].
Fig. 2. Presentation of EAPN (European Anti-Poverty Network) at IADE/UE
Fig. 3. RADAR project presentation in the social commission of the Parish of Estrela (Lisbon)
3 Case Study: Thermal Stability - Homelessness (Lisbon)
The project developed results from the multidisciplinary collaboration between design
and engineering, thus ensuring a proposal for comprehensive and in-depth intervention
to the problem. Knowing in depth the reality of the homeless and the elderly in a state
of isolation and their notorious exposure to bad weather, especially in winter, the
proposal has as its main objective the development of an optimized prototype that
minimizes the loss of heat from the human body while sleeping through its capacity to
minimize thermal perturbations absorbing them before the human body be affected [6,
7] (Fig. 4).
Fig. 4. RTP1 footage about homeless people in Lisbon city (Portugal)
With regard to homeless people and focusing on the National Strategy for the
Integration of Homeless People 2017–2023 (ENIPSSA 2017–2023), the case study
aims to achieve one of the intervention axes, the strengthening of an intervention that
promotes the integration of people, thus meeting some of the strategic objectives
proposed, among which, the promotion of the technical quality of the intervention, the
provision of training solutions (objectives E2.OE1, E2.OE1, E2.OE3, E2.OE 7B in
ENIPSSA 2017–2023) [8].
Within the objectives described above and combining the product development
process in a combined methodology and divided between design and engineering
practices, it was possible to obtain a series of intervention possibilities that would
respond to one responsible for accentuating the fragility of the vulnerable state of the
human being, the cold.
Even so, after the definition of the general problem, a network of consequences or
sub-problems that surround the main topic can be worked on and solved. Concentration
on a shared resolution can even achieve, as a consequence of favorable results, a greater
number of interdependent sub-response, such as body heat/consumption, and conse-
quently, psychical well-being and benefits neuronal plasticity, thereby supporting
brainfunction and cognition. Sleep deprivation impairs hippocampus-dependent
learning and memory and contributes to cognitive disorders and psychiatric diseases
[9–11].
4 The Concept - PCM Mattress
The initial idea came up with a concept that would result in an individual and portable
climate shelter for the homeless, so they could feel less exposed and to minimize the
loss of body heat. The portability of the product would also allow them to adjust any
location to their needs and security (Fig. 5). By transforming and humanizing the way
people sleep on the street we hope, through sensorial thermal comfort, to convince
them to go to communal shelters [12].
Fig. 5. Proposal A – design development
Through the collaboration between IADE and IST - Instituto Superior Técnico, the
proposal got updated on design development and materials composition, redefined with
the inclusion of Phase Change Material (PCM) (Fig. 6). These materials can absorb and
release thermal energy during the process of liquefy and solidify. In the form of
microcapsules, they can be incorporated within fibers or foams or may be coated into
fabrics. PCM fabrics adapt to the wearer and maintain optimum body temperature by
keeping wearers cool or retaining body heat, improving thermal insulation and more
temperature storage during sleep and contributing indirectly to an improvement on their
mental condition and thermal comfort during cold winter nights [13].
Fig. 6. Proposal B – 3D prototype and 3D rendering
5 PCM Mattress Prototype
As the project was being developed, the need to test the PCM on the mattress was
necessary (Fig. 7). The prototype was tested, and some pre-conclusions were collected.
The test was performed in a garage in Oeiras (Lisbon) at 9:00 am on January 11, 2018.
The ambient temperature was 10 °C and after 5 min of use, the mattress retained the
human body temperature from the time the user left the mattress until 20 min from 55%
Fig. 7. Proposal 2 prototype test development

to 35% of the user’s heat (≅35 °C) in areas of greater muscle mass (legs) and blood
concentration (head). This study confirmed the feasibility of integrating PCM in the
mattresses favoring the body’s heat stability. The making of a functional prototype was
taken into account, as well as the potential costs associated with its large-scale pro-
duction. In an initial phase of production and optimization, through tests and different
design proposals made by a specialized team in an estimated time of 2 months, the
estimated values would be around $14,000. In a large scale, considering the production
of 1,000 copies, the values would approach $15 per unit.
6 External Decision Making and Implementation Strategy
Following the results obtained, the team decided that the most effective way to
implement the project would be through partnerships with organizations or companies
involved in the social action sector. After some established contacts it was possible to
meet with some of them, e.g. the Cruz Vermelha Portuguesa, Santa Casa da Mis-
ericórdia and Comunidade Vida e Paz, which showed interest not only in the results but
also in the production and development values. The same happened with the companies
in mattresses’ industry (Flexipol and Eurospuma), whose interest was mainly centered
in the combination of the foam with the PCM and the values associated with its
production over the humanitarian cause. In all cases, project presentation meetings
were held. However, no collaboration was undertaken for the development of a pro-
totype. This raises questions about: (a) Whether organizations in social intervention
are open to collaborate with sciences whose contact or relationship is not so familiar
or usual? and (b) Will the companies in the industry be open to collaborate with
sciences whose contact or relationship is not so familiar or usual in favor of social or
humanitarian projects? This fact increases the urge to reinvent new corporate and
organization conducts to generate new values by doing and intervening on the most
vulnerable communities [14, 15].
7 Future Steps
In order to prove the concept in a more detailed way, it is necessary to proceed with
more tests and studies about human thermal discomfort during winter, when subjected
to temperatures below 15 °C, up to 8 h per day.
The expected procedures can be named in stages, initially in the homeless registry
and testimonials to determine the causes of their thermal discomfort; the modelling the
distribution of the temperature in the human body and experimental validation with
thermography and the use of tests with prototypes in climatic chambers simulating the
conditions of winter nights.
The approval of these tests and the making of several prototypes combining dif-
ferent types of functional materials (PCM) will also determine the final design.
The final evaluation will be reported after implementation and testimonials through
a comparative study of the impact of thermal discomfort on the welfare of the homeless
during the various seasons of the year.
References
1. Manzini, E.: Politiche del quotidiano : progetti di vita che cambiano il mondo [Policies of
Everyday Life: Life Projects that Change the World]. Edizione del communità, CheFar
(2018)
2. MacDonald, C.: Understanding participatory action research: a qualitative research
methodology option. Can. J. Action Res. 13(2), 34–50 (2012)
3. Robertis, C.: Metodologia da Intervenção em Trabalho Social [Méthodologie de L’inter-
vention en Travail Social]. Porto Editora, Porto (2011)
4. Bauman, Z.: Liquid Modernity. Polity Press, Cambridge (2001)
5. Koskinen, I., Zimmerman, J., Binder, T., Redström, J., Wensveen, S.: Design Research
Through Practice. Morgan Kaufman, Waltham (2011)
6. Holling, C.S.: Resilience and stability of ecological systems. Annu. Rev. Ecol. Syst. 4
(1973), 22 (1973)
7. Lisbon activates plan to protect homeless from the cold [Lisboa ativa plano para proteger
sem-abrigo do frio]. https://www.rtp.pt/noticias/pais/lisboa-ativa-plano-para-proteger-sem-
abrigo-do-frio_v1056292. Accessed 5 Feb 2018
8. National Strategy for the Integration of Homeless People 2017–2023. http://www.enipssa.pt/
documents/10180/11876/Plano+de+A%C3%A7%C3%A3o+2017-2018/b1bb09e5-e4f5-
47a0-a1e1-0a00abf7c9fa
9. Haskell, E., Palca, J., Walker, J., Berger, R., Heller, H.: The effects of high and low ambient
temperatures on human sleep stages. Electroencephalogr. Clin. Neurophysiol. 51(5), 494–
501 (1981). https://doi.org/10.1016/0013-4694(81)90226-1
10. Kreutzmann, J., Havekes, R., Abel, T., Meerlo, P.: Sleep deprivation and hippocampal
vulnerability: changes in neuronal plasticity, neurogenesis and cognitive function. Neuro-
science 309, 173–190 (2015)
11. Pilcher, J.J., Morris, M.D., Donnelly, J., Feigl, H.B.: Interactions between sleep habits and
self-control. Neuroscience 9, 284 (2015). https://doi.org/10.3389/fnhum.2015.00284
12. Heller, S., Vienne, V.: Citizen Designer. Perspectives on Design Responsibility, 2nd edn.
Allworth Press, New York (2018)
13. Song, G.: Improving Comfort in Clothing, 1st edn. Woodhead Publishing, Cambridge
(2011)
14. Bernarda, J., Ferreira, A.M., Silva, C., Queiroz, I.: Design as a process tool of collaborative
and multidisciplinary learning in society. Des. J. 20(sup1), S900–S914 (2017). https://doi.
org/10.1080/14606925.2017.1353035
15. Reznick, R.: Developing Citizen Designers. Bloomsbury Publishing Plc, London (2016)
Sustainable Human Environment: Mouraria,
Local Color and Sense of Place of a Historical
Lisbon Neighbourhood
Cristina Pinheiro1,2(&), Lambert Rozema3,

and Ana Margarida Ferreira1,2
1
{cristina.pinheiro,
ana.margarida.ferreira}@universidadeeuropeia.pt
2
3
NHL Stenden University, Rengerslaan, Leeuwarden, Holland
lambert.rozema@stenden.com
Abstract. At present time, many urban centres of European cities are losing
their historical and socio-cultural identity due to ageing populations and a sig-
nificant increase in tourism. If, on the one hand, there are many cases of revi-
talisation of the economic activity of these contexts, all very service focused, on
the other hand, the network of human relations has become very fragile or non-
existent. This has a significant impact on the wellbeing of remaining residents.
For the new generation of dwellers and tourists, as a result, these neighbour-
hoods are less significant from a cultural and symbolic perspective. Adding to
these arguments, in rehabilitation processes, chromatic proposals for neigh-
bourhoods often are aimed at establishing or maintaining the architectural
identity of the place. This type of colour research suggests that heterogeneity
and unity of colours can contribute to cultural identity. Colour proposals often
aim at increasing actual liveability and wellbeing of the users of the public space
of the area under scrutiny. Yet, relatively little is known about how residents can
use the colours of their neighbourhood to strengthen their own sense of place
particularly when the area is under pressure from the tourism industry. This
paper will address this research topic and present, in an initial phase, the
methodology, some collected data and conclusions of a case study in Mouraria,
a historical Lisbon neighbourhood.
Keywords: Co-design Local colour Sense of place Cultural identity

Urban communities Sustainability
1 Introduction
This investigation takes Mouraria in Lisbon as a case study as this neighbourhood is

going through a rehabilitation process. We suggest its genius loci, the prevailing
character or atmosphere of a place, can be built on a distinctive local palette in turn
contributing to a strong sense of place. Previous case studies in Lisbon have shown that

https://doi.org/10.1007/978-3-030-20145-6_13
136 C. Pinheiro et al.
this can be done by using an evolutive method zooming out from the colour mor-
phology of single buildings to the urban landscape in which they are situated [4].
The research aims to explore the link between this colour-based genius loci and the
sense of belonging of members of the community. It builds further on the L3 project
which explores empowerment and resilience in three neighbourhoods in Lisbon [1].
The results are expected to inform design processes aimed at changing urban human
environments where terms such as heritage and authenticity are key to these processes.
This ethnographic research proposes to shed light on how local colours could con-
tribute to the residents’ place identity. It aims to contribute to them becoming co-
creators of their environment, sharing their stories with tourists and thus contributing to
the sustainability of their neighbourhood. This hypothesis was tested by other experts
in the field of colour and environment during a workshop held at the International
Colour Association (AIC) Congress in Lisbon in 2018. It provided useful input for the
envisaged research.
2 Theory
2.1 On Local Color

Local colour research has provided vital input for designers and planners as it shows an
accurate map of the colour identity of an area. Urban areas under pressure of tourism
and its inherent gentrification can lose much of its identity when undergoing change as
a result of this pressure. During the pilot research it was observed that guest houses in
Lisbon e.g. often receive salient colours presumed for commercial reasons. This
increased heterogeneity can profoundly alter the identity of the street.
Jean Philippe Lenclos developed a systematic colour research method based on
general, specific and manifest colours [7]. This method zooms in on an area while
taking colour samples and comparing them to standardized systems such as NCS.
This method is partly inspired by the Gestalt theory. As claimed by the Gestalt
theory, the whole is more than the sum of the parts. “When viewing “whole”, the mind
no longer sees the individual parts, but rather only the aggregate of the whole along
with the thoughts and feelings associated with that whole” [6].
Recent studies have proposed a holistic approach to colour mapping urban areas.
Catarina Diz de Almeida and Cristina Caramelo Gomes mention in their paper the use
of an evolutive method using NCS as their benchmark [4]. This approach is supported
by methods developed by Lenclos and Boeri taking into account the colour of all fixed,
ephemeral, natural and background elements of the environment [2, 7].
2.2 On Co-design
It is common practice to involve experienced colour designers to reveal the colour
character of a place and educate members of the community. They document and
analyse the colours that occur naturally in the landscape and the colours of buildings
which, where they still exist, represent the traditional response of the vernacular eye.
Sustainable Human Environment: Mouraria, Local Color and Sense of Place 137
From the analysis, colour charts are produced which illustrate the character of
appropriate colour combinations.
Within design the value of dialogue should be rising compared to the value of
production. It becomes more important to know how many co-creators you will get
talking and with which social and cultural differences [5].
During the AIC workshop it was commented that co-creation may slow down
decision making processes or result in a drawn-out political procedure. Yet, it may well
be a sound alternative to current developments in globalisation spreading a bland
McDonalised style, as proposed by Farinha [10], all over the world while disregarding
locals and their cultures.
The following was proposed as an idea for execution of a renovation involving a
shortened co-design process: planners and politicians could provide the framework for
the planned change of a neighbourhood after which locals get their say in the execution
of the details such as the application of specific and manifest colours.
2.3 On Identity
Understanding and mapping the physical conditions of a place may be at the foundation
of research into sense of place. Sense of place describes what it is like to be there, how
people are attached to this place.
‘A concrete term for environment is place. It is common usage to say that acts and
occurrences take place. In fact, it is meaningless to imagine any happening without
reference to a locality. Place is evidently an integral part of existence’ [3].
Meerwein et al. argued “(…) it is possible to establish relationships between users,
their activities, and the architectural space. Colour links these factors, thereby
establishing an identity. It affects our body and mind deeply, influences our well-being
and “psychological comfort” [8].
The outcome of this research could or should inform co-design in rehabilitation
processes but for mostly it hopes to re-join the local story with the local people using
colour as a tool to create cultural identity and for wellbeing purposes.
The workshop participants agreed that encouraging awareness of local colour by
e.g. colour matching or just taking pictures of colour could make people more per-
ceptive of the environment they move around in daily.
3 Method
3.1 Mapping Local Color
So far, the method involved photographing colour fragments of Mouraria. The aim was
to register colour details of the environment and cross reference these visual data with
demographics, cultures and religions present in the area.
During the workshop questions arose regarding validity of such intuitive and
artistic approach. Therefore, the validity and reliability of the proposed research was
increased by adopting an evolutive method as suggested in the research of Catarina Diz
de Almeida and Cristina Caramelo Gomes [4].
This method suggests that first the colour morphology of each building is studied.
This initial stage takes into account the building’s façade shape, age, materials, textures
and their reflections. The next stage registers the colour typology of all buildings in the
street. Now the focus is on the relationship between all buildings in terms of colour, age
and shape.
The last stage is observing and documenting the urban landscape that the street is
part of. This allows for a three-dimensional registration of colours of all elements in the
visual field including street furniture, ephemeral and natural elements, but also back-
ground colours during different seasons. These colours are all measured by using the
NCS colour system (Figs. 1 and 2).
Fig. 1. Example of NCS façade colour survey in Ajuda, Lisbon [4]
Fig. 2. Colour survey in the urban landscape [4]

Sustainable Human Environment: Mouraria, Local Color and Sense of Place 139
3.2 Community Mapping

The input of the residents of the area is the corner stone for the envisioned co-creation
process; their experience of the surroundings in the context of local colour allows for
the development of a narrative owned by locals. Urban Mind is a tested tool which
measures the user’s experience of urban living during a two-week period. Participants
are prompted at regular intervals through an app to answer questions about how they
feel about the environment. The geographic position of the participant is registered
each time a question is answered. These data can then be used to construe a community
map displaying locations of interest and their colours [9]. These subjective experiences
are then offset against the NCS colour map. Local stories in their relevant colour
context can then be shared with visitors to the area thus allowing for a more direct
communication and valuable experience for both residents and tourists.
4 Conclusion
The workshop held at AIC – International Colour Association conference, provided

valuable input for this research study. This has benefitted its validity and underlined its
relevance in times of globalization, pressured by tourism activities, and the resulting
gradual wearing down of cultural identity of urban communities and lack of sense of
place, critical for a more sustainable human environment. Several presentations at AIC
showed a growing awareness of the link between local architectural colour design and
diminishing agency due to globalization. It means that deeper research would be
pertinent considering the social and cultural challenges that are emerging, such as
cultural intolerance, underlying the importance of social and personal comfort and
wellbeing as key aspects to be addressed by creative agents, from designers, artists,
architects, or urban planners.
Acknowledgments.. The authors thank Isabel Farinha, Cath Carver, Saara Pyykkö, Sharyn
Adler Gitalis, Elisa Cordero-Jahr and Sharon Avital for their valuable input.
References
1. Bernarda, J., et al.: Design as a process tool of collaborative and multidisciplinary learning in
society. Des. J. 20(sup1), S900–S914 (2017)
2. Boeri, C.: A perceptual approach to the urban colour reading. In: Zennaro, P. (ed.) Colour
and Light in Architecture, pp. 459–463. Knemesi, Verona (2010)
3. Schulz, C.N.: Genius Loci: Towards a Phenomenology of Architecture, pp. 5–6 (1976)
4. Diz de Almeida, C., Gomes, C.C.: Historic urban landscape: construction of a methodology
for integrated colour proposals. In: Proceedings Book of AIC Lisboa 2018, Colour and
Human Comfort, pp. 53–58, 25–29 September 2018
5. Ethics for Design. https://vimeo.com/232973887. Accessed 27 Nov 2017
6. Kopec, D.: Environmental Psychology for Design. Fairchild Books, New York (2012)
7. Lenclos, J.P.: The Geography of Colour. San’ei Shobo Publishing Company, Tóquio (1989)
8. Meerwein, G., Rodeck, B., Mahnke, F.: Colour – Communication in Architectural Space,
74. Birkhauser Verlag, Basel (2007)
9. Urban Mind, Andrea Mechelli Institute of Psychiatry, Psychology & Neuroscience King’s
College London. https://www.urbanmind.info/#hometop. Accessed 05 Dec 2018
10. Farinha, I.: School media: a place for consuming a “McDonalled” culture? Doctoral thesis,
ISCTE-IUL (2013)
Developing Portable Clean Cart with Broom
and Dustpan for Street Sweepers Needs
Bing-Cheng Zhu1(&) and Chien-Hsu Chen2(&)

1
National Cheng Kung University, No. 1 University Road,
Tainan 70101, Taiwan, R.O.C.
asd2018630@gmail.com
2
Hierarchical Green-Energy Materials (Hi-GEM) Research Center,
National Cheng Kung University, Tainan, Taiwan, R.O.C.
chenhsu@mail.ncku.edu.tw
Abstract. Street sweepers are an indispensable part of urban cleaning. Unlike

ordinary indoor cleaners, street sweepers need to face the outdoor environment
and fields. Because of the long distance and extensive area, street sweepers have
developed their own clean process. Due to the environment and process, street
sweepers have more needs for cleaning tools. For example, carrying mobility.
Through observations and interview, researchers found that different types of
work and vehicles are used by street sweepers. After analyzing the advantages
and disadvantages, different types of works can be merged into one new pro-
cess. Then, use the insights found in the interview to design a new clean
equipment set. This set can accord with the new process and meet street
sweepers needs. In the design part, sketches are used to develop multi ideations.
Then 3D printers are used to make prototypes to verify the usability of mech-
anism. In this study, a portable clean cart is proposed. It can reduce the size to
be suitable for motorcycle carrying, and also expand the structure to facilitate
the garbage bag. The newly designed broom and dustpan can easily fit into the
cart. Since street cleaning system developed so far, though Taiwan has
employed street sweep machine, still there are many special street types that can
only clean by the human. Therefore, study for the work experience of street
sweepers is valuable.
Keywords: Street sweepers Broom Dustpan Clean cart Carry
1 Introduction
Street sweepers are indispensable part of urban cleaning. Unlike ordinary indoor
cleaners, street sweepers need to face outdoor environments and fields. Take Tainan
street sweepers for example, each person need to clean around three kilometers per day
[1]. Long distance cleaning makes movement a major problem. When sweeping the
streets, the street sweepers need to bring a broom and a dustpan to sweep the sidewalk

https://doi.org/10.1007/978-3-030-20145-6_14
142 B.-C. Zhu and C.-H. Chen
or roadside garbage. Therefore, the street sweepers need carry the broom, dustpan and
container which place the garbage.
In Taiwan it is easy to see street sweepers riding motorcycles on the road in the
early morning. On their small motorcycles, they use special tube or iron frame to carry
the broom and use a rope to hang the dustpan aside. And place the garbage bag in the
space where the foot placed in front of the motorcycle (see Fig. 1). They clean the
street in that way. When street sweepers see the dirty area in sidewalk, they get off the
motorcycle and clean it. After that, they keep riding to the next section. However, with
regard to this way of carrying equipment, because of getting on and off frequently and
carrying the long shape tools like broom and dustpan, it is easy to influence the posture
and balance while riding a motorcycle. Especially on the road, the potential safety
problem as a result of inconvenient tool carrying is obvious.
Fig. 1. Street sweeper and her motorcycle.
It is worth noting that most of the way using motorcycle to clean the street is in the
situation of cleaning a long and straight road. The street sweepers need to clean the two
sides of the road. Thus, they will clean one side to the end of the road and go to the
other side of the road. Then clean back. However, there are many road types in Taiwan
that are radial. If the street sweepers are assigned to this type of road, most of them use
the clean cart to carry the sweeping tools and garbage bag (see Fig. 2). The disad-
vantage of clean cart is the big size of clean cart. They can’t be carried easily. So, when
the street sweepers finished their job, they will hide the clean cart in the roadside and
use it tomorrow.
Developing Portable Clean Cart with Broom and Dustpan for Street 143
Fig. 2. Street sweeper and his cart.
Usually, when the street sweepers go to work, they will go to an office to sign and
pick up the sweeping tools first. Then they will ride the motorcycles which assigned
from the government to their own road section. As soon as they arrived, some of them
start to use motorcycles to move and clean the roadside, and some of them park their
motorcycle beside the road then use clean carts to move and clean. During the process
of clean streets, if there is a full garbage bag, they can place it in specific spot. And
there will a garbage truck to pick it up. Thus, they do not need to carry the garbage
from street along their side all the time.
In addition to carrying problems, crude sweeping tools is also a problem. After the
street sweepers finish cleaning the streets, they return to their office. Usually they start
to tie the new broom head and make the new dustpan. Because the sweeping tools on
the market can not meet street sweepers’ needs and environment. They don’t only buy
bamboo sticks and loop to make bigger dustpan, but also buy bamboo branch to
produce the broom head. Due to the large amount of using the broom, the head of
broom will get sparse and hard to use it. Therefore, they need to replace the broom head
every two or three days [1]. This kind of work of making sweeping tools is
undoubtedly increasing the workload of street sweepers.
The reasons for these problems are not only because of the special road type in
Taiwan, but also because the sweeping tools sold in the market are mostly for indoor
environments. The amount of garbage is small and does not require too much moving
range to design. And there is not design for outdoor street sweeping environments.
Thus, a street clean set which is specially designed for outdoor street sweeping is
proposed in this study. It can let street sweeper carry the sweeping tools more easily.
And the design according to the outdoor needs can reduce the extra workload of
making their own sweeping tools.
2 Method
2.1 Nonparticipant Observation Method
For the observation phase, the process of street sweepers starting from home to office,
picking up the sweeping tools, and then going to the designated road section is
recorded by researchers. It is necessary to keep low profile and observes the subjects
with his or her knowledge, without taking part in the situation [2]. The aim of
observation is to understand the specific work process of street sweepers, and the
differences resulted of different transportation. The defect of this method is if the
observation is overt, it may lead the subject behave differently, thus the affect he
reliability of the data collected, the participants performance may be affected by
Hawthorne effect. The participants may change their behavior improve or reduce in
response to their consciousness of being observed [3, 4]. However, because the street
sweepers usually work in public, and the researcher informed the participants without
confirming the current date to observe. Thus, the participants do not notice that the
researchers begin to observe, thereby taking the Hawthorne effect to the lowest.
This stage consists of two street sweepers which use motorcycles to clean street, all are
women, one 57 years old and the other 50 years old. One other street sweeper which use
the clean cart to clean the street is 70 years old male. The three above all have more than 15
years of street sweeping experience. By observation, the researchers are able to sort out
the difference of work process between two transportation tools (see Fig. 3 and 4).
Fig. 3. The process of using motorcycle to clean up the streets.
(a) Street sweepers leave form home to office.

(b) After picking up the sweeping tool from office, ride the motorcycle to carry them
to the road section.
(c) Use the motorcycle as transportation tool to clean the street. If the garbage bag is full, it
can be placed at the roadside. Replace this cycle until the road section is cleaned up.
(d) Back to the office.
Fig. 4. The process of using a clean cart to clean up the streets.

(a) Street sweepers leave form home to office.

(b) After picking up the sweeping tool from office, ride the motorcycle to carry them
(c) Park the motorcycle at the roadside after reaching the road.
(d) Use the clean cart as transportation tool to clean the street. If the garbage bag is
full, it can be placed at the roadside. Replace this cycle until the road section is
cleaned up.
(e) Back to the office.
Two work processes are compared by the researchers. Because using motorcycles
to clean streets need to shuttle on the road, and it is prone to be dangerous while
working on the road in the earlier morning with the poor sight. The safer way is to use
clean cart to clean the street on the sidewalk. However, in the process of carrying
sweeping tools to the designated road section, motorcycles are still highly mobility
tools. Because some of the street sweepers are assigned to the farther road section,
some of them are assigned to the nearer road section. To sum it up, it is better to merge
two processes and design a new clean cart and sweeping tools. This clean cart and
sweeping tools can be carried by the motorcycles to the designated road section. And
start to clean up the street by using the clean cart. After finishing the work, the street
sweeper can use the motorcycle to bring the clean cart and the sweeping tools back to
the office, so they don’t need to leave the clean cart at the roadside.
2.2 Unstructured Interview

After deciding on the design specifications of the clean cart, interview for the street
sweepers is used to understand their needs of brooms and dustpans. An unstructured
interview or non-directive interview is an interview in which questions are not prear-
ranged. These non-directive interviews are considered to be the opposite of a structured
interview which offers a set amount of standardized questions [5]. The form of the
unstructured interview varies widely, with some questions being prepared in advance in
relation to topic that the researcher or interviewer wish to cover. They tend to be more
informal and free-flowing than a structured interview. This stage was carried out twice
(see Fig. 5). 12 street sweepers are recruited in this stage, 7 men and 5 women, with an
average age of 45.
Fig. 5. Unstructured interview with street sweepers.

Through the interviews, the most demanding and troublesome situations of street
sweepers for brooms and dustpans are sorted out by the researchers (see Table 1).
Table 1. The needs and problems of broom and dustpan from street sweepers.
Item Needs and Problems How many people said that
Broom Hard to carry 8
Need to replace the head every two days 10
Dustpan Hard to carry 7
No suitable handle 7
Need bigger capacity 8
3 Design Process
3.1 Brainstorming and KJ Method

At the beginning of the design, brainstorming method is used to envisage many
solutions based on the insights gained from the previous research. The concept of
brainstorming method is to suppress group stress and not reject any proposal. Because
there will no stress of being denying, participants will not spend too much time
thinking about the possibility of a single proposal, and let the thoughts continue to
conceive the next proposal. Thus, a large amount of proposal will be raised in short
period of time, then examine the possibilities one by one.
During the process of brainstorming, post-it notes are used to record ideas on the
whiteboard (see Fig. 6). Then KJ method is used to categorize the ideas into several
sorts. KJ method is a method that can categorize a group of unknown imagine or data,
then draw the affinity map in a short time. The classification results will be discussed
and deleted quickly. After brainstorming, researchers find that redesign the clean cart to
be suitable carrying by the motorcycles is the helpful way to the commuting of street
sweepers.
Fig. 6. Using KJ method to categorize the ideas and information.

3.2 Experience and Sketches

After the brainstorming, the researchers set out to draw sketches (see Fig. 7) and
discuss the usability. The advantage of the sketch is that it can be quickly confirmed
with the members. And when the design has bias, it can be corrected immediately. In
the sketch phase, the researchers are committed to the actual implementation of the
previously derived insights, using the form shape or mechanism to achieve the design
specifications. At this stage, user experiences are required to participate in, in order to
design the users’ products with actual needs. So, in this stage, the researchers
repeatedly interview street sweepers and experience the street sweeping work (see
Fig. 8).
Fig. 7. Sketches of ideas.
Fig. 8. Experiencing the work process of street sweeper by the researcher.

3.3 Prototype
After the sketch phase, it begins to enter the stage of prototyping. Because there are
many difficulties in use, and it can not be found in the sketches easily. It depends on the
prototypes to do the test. For the prototype making, the researchers use wood chip and
cardboard to make scale model of clean cart and use 3D printer to make the prototypes
of broom adapters (see Fig. 9).
Fig. 9. Prototype of the clean cart and broom adapters.
4 Result
Combining the above design specification for the clean cart, broom, and dustpan, a new
clean tool set is proposed in this study. The broom and dustpan can be packed into the
clean cart and let the street sweepers carry the cart easily to the designated road section
to clean up the street (see Fig. 10).
Fig. 10. Using scenario of new clean cart, broom and dustpan.
4.1 Clean Cart System

The main of this design is a clean cart, with a collapsible dustpan, and a detachable
broom. When commuting, pack the broom and dustpan into the cart (see Fig. 11), and
place the cart in the front part of the motorcycles, then the street sweepers can ride them
Fig. 11. The clean cart system with broom and dustpan inside it.
For the clean cart, in order to hold the large amount of garbage while using, and
also need to reduce the volume to adapt the motorcycle carrying, the special shaft
mechanism is designed in this cart. When it is usually folded, the exterior looks like a
normal suitcase. The flat shape makes it easy to place on the front side of the
motorcycles. When it opens, the special mechanism design can increase the bottom
area and increase the load of carrying the garbage (see Fig. 12). The garbage bag
holder can allow the street sweepers to replace the garbage bag easily. And the height
of the garbage bag is lower than the original one on the motorcycles. It let the street
sweepers be less laborious while dumping garbage.
Fig. 12. The process of expending a clean cart and putting trash bag on it. The structure that
folded down can enlarge the area which can hold the trash bag.
In addition, the new clean cart can be used to integrate the two street sweeping
processes. The street sweepers can use the motorcycles to carry the cart and the
sweeping tool to the designated road section. And park the motorcycles at the roadside,
then start to use the clean cart to clean the sidewalk. During the cleaning, if the garbage
bag is full, the street sweepers can throw the garbage at the roadside and their colleague
will come to pick it up. When the road is cleaned up, the street sweepers can pack the
broom and dustpan into the clean cart, then carry them back to the office by the
motorcycle. This kind of new process and tool design can let the tool carrying problem
be solved. The cleaning of the road section by the cart can also make the safety
concerns of the motorcycle street sweeper no longer occur.
Broom. For the broom, during the interview stage, the researcher found that due to the
large amount of use, the street sweepers need to replace the broom head every two or
there days. And the process of replacing the broom head is very cumbersome. It needs
to (1) trim the bamboo branches (2) arrange them (3) insert the bamboo stick inside the
bamboo branches (4) use iron wire to tie the bamboo branches (5) repeat(4) several
times. The whole process takes twenty to thirty minutes. Besides, the length of bamboo
stick is fixed, and it is hard to carry such a long shape item while riding. The fixed
length is also hard for every street sweeper to adopted it.
Based on the above reasons, the new broom proposed in this study has a new
broom adapter. This adapter has upper and bottom parts, connected with a rotating
shaft. There is toothed structured inside the adapter to help clamping the bamboo
branches. In the process of replacing the broom head, the street sweepers only need to
place the bamboo branched which is well trimmed into the adapter and press the upper
and bottom parts tightly together. Then screw them up and attach the broom handle to
complete the operation of replacing the broom head. The whole process takes only six
to ten minutes (see Fig. 13).
Fig. 13. Process of replacing broom head

The broom handle is a telescopic rod which can adjusted in length so that people of
different heights can use it properly. The handle part can be quickly separated and
joined with the broom head, which can provide higher convenience in carrying com-
muting. In addition, because the bamboo branches are tied to the bamboo sticks in the
past, the special broom adapter allows the street sweeper to prepare a number of spare
broom heads in advance, and once the broom head is broken, it can be replaced
immediately.
Dustpan. In order to meet the needs of convenient carrying and large capacity, the
new type of dustpan has a structure that is folded and bent, so that the dustpan can be
combined into a small volume when not in use. And when it expands, it has large
capacity to fill the garbage (see Fig. 14). In addition, due to the original dustpan made
of bamboo sticks, there is no suitable handle for street sweepers to use. When the street
sweeper uses the dustpan, the wrist tends to be biased or deflected [7], and the newly
designed dustpan has the handle with appropriate angle so that the street sweepers can
use it suitable (see Fig. 15).
Fig. 14. Process of expand new dustpan.
Fig. 15. The posture of holding the new dustpan. The handle will let the hand in a suitable
posture to work for a long time.
5 Conclusion
After observation and interviews, the difficulties and obstacles encountered by many
street sweepers are shown. Further analysis shows that these difficulties are caused by
the special working environment of the street sweepers and the work process, so the
improvement of the work process is the first step, combined with the proper equipment
integration design, is the helpful solution for street sweepers.
The limitation of this research result is that the choice of product material, the
model currently used for prototyping, is made by 3D printing. Its material is photo-
sensitive resin, its durability and weight are not so suitable for the needs of street
sweepers. In the future, the design can be made with lighter and stronger materials,
which will contribute to the universality of the new design.
Since Taiwan has developed street sweeping system so far, although many street
sweeping machines are applied. However, for some special street types, it is still only
suitable for human street sweeper. For today’s street sweeping equipment, it is still too
simple and difficult to carry. The design of the street sweeper and the task of improving
their work experience remain important social issues.
In addition, during of research, many problems that are not related to this study are
found, such as the public’s poor perception, lousy procurement process, and heavy
workload. These problems are difficult to solve by design. It need better policies from
government and recruit more staff for street cleaning. At the same time, street cleaning
is only part of the urban cleaning. In order to achieve better urban cleaning, it needs the
joint efforts of all citizens.
References
1. Environmental Protection Bureau of Tainan City Government. http://www.tnepb.gov.tw/dep_
green_page.asp?num=20110921163127&page=25&m=20110919112247
2. non-participant observation. A Dictionary of Sociology. Encyclopedia.com. http://www.
encyclopedia.com/social-sciences/dictionaries-thesauruses-pictures-and-press-releases/non-
participant-observation. Accessed 08 Jan 2017
3. The Economist. The Hawthorne Effect, 3 November 2008. http://www.economist.com/node/
12510632. Accessed 9 Jan 2017
4. Fox, N.S., Brennan, J.S., Chasen, S.T.: Clinical estimation of fetal weight and the Hawthorne
effect. Eur. J. Obstet. Gynecol. Reprod. Biol. 141(2), 111–114 (2008). https://doi.org/10.
1016/j.ejogrb.2008.07.023
5. Thorpe, R., Holt, R.: The SAGE Dictionary of Qualitative Management Research. Sage
Publications, London (2007)
6. IdeaConnection. https://www.ideaconnection.com/thinking-methods/k-j-method-00011.html
7. ErgoVancouver (2018). http://www.ergovancouver.net/wrist_movements.htm
Macroergonomic Systems Design
and Improvement
The Reporting System as a Feedback Tool
to Improve the Process of Entering Data
to the IT System
Maciej Siemieniak(&) and Katarzyna Siemieniak
Poznan University of Technology, 11 Strzelecka Street, 60-965 Poznan, Poland

{maciej.siemieniak,
katarzyna.siemieniak}@put.poznan.pl
Abstract. A subject of the paper is the reporting system that monitors the
correctness of data in the IT production management system. The reporting
system is also a feedback tool which helps to improve the process of entering
data into the IT system.
The IT system administrator created reports on the erroneous data to monitor
the completeness and correctness of the data in the system.
The research provided with the knowledge about quality of communication
between company departments involved in the entering data process.
The aim of the paper is to show the reporting system as a feedback tool,
which is also a part of process of improving data entering into the IT system.
The presented reporting system illustrates not only a data set for IT system
users, but also provides a useful feedback about errors and lack of data in the IT
system, improving this way the process of entering data and internal commu-
nication process as well.
Keywords: Reporting system Feedback Process of entering data

Communication Improving organization
1 Introduction
Historical data, presented in various sources, allow to state that man from the beginning
of his existence had skills, which today is called organizing and managing various
activities. At the beginning it was related to the conscious and purposeful use of tools
simplifying everyday activities. The arising human awareness of the necessity of
improvements and more effective use of tools has contributed to the development of
innovation. Well-thought-out and organized activities began to appear. Initially, the
organizational activities were carried out in a spontaneous manner. This was related to
the abilities of leaders. There was a lack of thought-out, organized, researched,
structured activities and a methodical approach to the matter [14].
The beginnings of a scientific approach to organizing and solving problems can be
found in the ways of thinking of ancient philosophers and in the principles they
proclaim. They are a generalization of practical experience from various areas of
activity [14].

https://doi.org/10.1007/978-3-030-20145-6_15
156 M. Siemieniak and K. Siemieniak
2 Main Directions of Organizational Improvement
Reviewing the main directions of organizational improvement, it can be said that the
so-called classic approach to the problems of organization and management included
two trends: scientific management and administrative management. The first one
concerned methods of improving the work efficiency of physical workers. The second
one, on ways to increase the performance and effectiveness of the organization’s
activities [3–9, 11, 12, 14].
Proponents of the theory of classical approach to organization and management
focused on the study of working methods, standardizing and controlling employee
work processes in the company.
On the other hand, proponents of the behavioral approach focused on research the
attitudes and behaviors of the individual in the company and on group processes.
Behavioral research has provided knowledge in the field of work psychology: moti-
vating to work, job satisfaction, stress, leadership, team work, conflict solving and
organizational structure [3–9, 11, 12, 14].
Another important approach to organizational problems dates back to the times of
the Second World War. At that time, teams of specialists were formed, which devel-
oped ways to more efficiently and more effectively use war resources. The approach
uses quantitative methods to solve management problems.
The basic trends creating the quantitative approach are quantitative management
theory and operational management [4, 12, 14].
The quantitative management theory provided solutions to organizational problems
by developing mathematical models describing a simplified model of a process, system
or relationship. The mathematical models are also support for decision-making
processes.
The second of the quantitative approach trends, the operational management, is
used to optimize organizational activities, especially to increase production efficiency
in a company.
The above-mentioned three organization and management approaches: classic,
behavioral and quantitative, can be combined and complement each other, although
they have different assumptions, concern different areas of interest and provide different
results of scientific research. The correct approach to solving organizational problems
and understanding the principles of organization and management sometimes requires a
combination of all other approaches. Such the combination makes another direction in
the field of organizational improvement. Thus, a systemic approach and situational
approach arise [4, 12, 14]. Considering the company as one organizational unit is a
domain of the systematic approach.
The second approach, situational, criticizes the classical, behavioral and quantita-
tive approach, accusing them of universality and too large generalization, which make
these approaches not very useful, because each company is different, its activity and
behavior is conditioned by various factors that are typical only for a specific company.
The Reporting System as a Feedback Tool to Improve the Process 157
3 Communication as a Process
According to psychology, communication between people, understood as the process

of communicating or exchanging information, is one of the oldest social processes.
This process develops from the moment when the man began to live in groups,
communities and organized structures. The contemporary functioning of societies is
based on creating, collecting, processing and transmitting information, so it can be said
that communication processes are the basis for the existence of society. Depending on
the situation and social conditions, communication processes may occur at various
levels. At the lowest level there is communication between individuals, then com-
munication within a group and communication between groups. At a higher level there
is communication within the company, then public communication, and mass com-
munication at the highest level [2, 13].
There are two ways in the subject literature that define the concept of a commu-
nication system [2, 13]:
• in institutional terms – shows types of connections and relations between elements
of the system (groups),
• in functional terms – shows the system as a process, presents actions and interac-
tions taking place between elements.
The communication process can be transformed into the communication system.
Then the communication of individuals and small groups will be replaced by a com-
plex, multi-faceted and multi-layered communication process, where a message sender
and a recipient form an organized group.
One of the most important processes related to the organization and management is
an adequate flow of message. It determines a proper and efficient functioning of the
company [1, 13].
The communication system inside the company is a process that takes place
between groups and within the group. The participants of the system are employees of
the company. The relations between the employees are formal, determined by the
organizational structure and position. Everyone has clearly defined roles, responsibil-
ities and tasks [2, 13].
Communication that takes place inside a closed structure may involve communi-
cation at group level and individuals.
Group communication is the processes occurring inside the team working together
on a task. On the other hand, the communication of individuals concerns transfer of
messages between manager and subordinate [13].
The increased interest in the communication processes within the organization
contributed to intensification of research on the processes. The result was the devel-
opment of management literature on creation of effective organizational structures.
4 Entering New Data into the IT System
The process of entering new data into the IT system is an example of a communication
system inside the company. It takes place between various departments, which are
responsible for the preparation and input of data. The process, using clearly defined
steps, describes the method of filling the IT system with new data, which significantly
improves a quality of the process and, the most importantly, improves the communi-
cation process between departments [13].
The following phases of the method can be distinguished [13]:
• preparation and input of technological data,
• designing manufacturing process,
• entering purchase and subcontracting data,
• creating product structure (bill of material),
• entering production planning data,
• verification of implemented data,
• cost calculation.
The process of entering data into production management system starts with
preparation of technological data in the department of manufacturing processes design.
The data is sent to the product master database (PMDB) coordinator. The technological
data is entered to PMDB and then distributed to other IT systems transferring various
types of data for requirements of the master production scheduling system (MPSS),
manufacturing system (MS) and customer service system (CSS). Then, the PMDB
coordinator informs departmental technologists about the distribution of data to the
MS. Technologists start working in the MS with design manufacturing process in a
form of defined technological operations and product structure creation. In case a
product is manufactured from purchased material, then purchasing department enters
purchase data to the MS. Than production planner implements planning data, necessary
for proper scheduling production in the system. In the next step, the MS administrator,
who is the process coordinator also, verifies correctness and completeness of the
implemented technological, manufacturing, purchasing, subcontracting and planning
data in order to send information to controlling department with a request for cost
calculation in the MS [13].
Analysing the process described above, it can be seen that it provides knowledge
about its multi-aspect. Due to the large number of IT system users involved in the
process, including many departments of the company, moreover, the ability to perform
activities by various departments in parallel, as well as the need to provide information
to the next department, make the whole process complex. The level of quality of
communication between users of the IT system entering new data is determined by
completeness and correctness of data, as well as is evidence of teamwork skills.
The whole process of entering new data can be presented graphically using a block
diagram that shows logically ordered activities, the order in which they are executed,
the overall structure of the process, and the relationships between the components of
the process (Fig. 1).
START
NO NO
new new
STOP
product? component?
YES YES
preparation of preparation of
technological technological and cost
data to PMDB data to PMDB
entering data into

PMDB, distribution to
MPS, CSS, MS
design manufacturing
process in MS
NO
material exists entering purchase
in MS? data into MS
YES
creating product
structure
(BOM)
α
entering production
planning
data into MS
verification of
implemented data
NO
data complementing
complete? missing data
YES
cost calculation
in MS
NO
calculation
completed?
YES
STOP
Fig. 1. A diagram of the process of entering new data into the MS [13]
5 Feedback
A feedback is a part of every process in the organization because it allows to assess

whether taken actions have ended according to the assumptions. Lack of feedback does
not allow to correct input data and makes improvement impossible. Feedback is an
important component of communication process within a company and is a manage-
ment function.
A proper communication between the IT system users (from different departments)
and the IT system administrator, affects the proper behaviour of employees: involve-
ment, motivation to work and identification with an organization.
Feedback - reports - is a kind of interaction between two objects - the IT system
users and the IT system administrator – that plays a very important role - return impact
of phenomenon effect on its cause.
In systemic terms, feedback is a regularly interacting or interdependent group of
elements forming a unified whole. By returning a part of result to the system, a perfect
adjustment mechanism can be obtained.
Feedback can be divided into formal and informal. Formal feedback can take the
form of a report, it concerns top-set goals. Informal feedback is mainly based on
interactions with employees. The most important function of feedback is the corrective
function, and its aim is to make changes in current activities [10].
6 Essence of the Reporting System
The reporting system is a response of the production management IT system admin-

istrator to the needs of the management and of the IT system for quick and easy access
to data and information coming from the IT system in various forms of detail, which
the IT system does not offer.
The data entered into the IT system goes to SQL Server database, where queries are
created using programming tools, and then reports are created in the form of an active
server pages.
The reporting system (as the active server pages) consists of several thematically
grouped areas, in which the reports as collected data are stored:
• technological – products, routings, product structure (BOM – bill of material), work
canters parameters, manufacturing operations, technical specifications,
• production – products stock, production scraps, material and component issue from
warehouse to production, works orders, good items production registration, work in
progress, product shipment,
• purchasing – suppliers’ data, purchase orders, contracts, delivery conditions,
invoices,
• planning – delivery schedule, customer orders, capacity, safety stock level, pro-
duction schedule,
• subcontracting – subcontracting items, operations, costs, orders,
• warehouse – material and components stock, receiving items, issue items, finished
items shipment,
• controlling – production and subcontracting costs,

• quality – scraps items with causes,
• other – administrative and supporting data, monitoring.
These reports are usually in the shape of data set in table or graphical form. They
are often a simple combination of detailed data. This is due to the fact that it is not
possible to compile data in the production management IT system - MS (manufacturing
system) - data are displayed on the screen in the form of a single record.
There are reports that present aggregated data, grouped according to the criterion,
summarized. The source of the reports can be data coming from one table (from one
MS screen) or data from several tables (from several MS screens).
7 The Reporting System as a Feedback
The main purpose of the reports is to give the IT system users a set of data for the
purpose of their further processing or to provide information (processed data) for the
management needs to analyse the current situation and make the right decisions.
There is a group of reports created specifically for the IT system administrator to
supervise the correctness and completeness of data entered into the IT system and for
monitoring errors and mistakes appearing in the daily work of the IT system users.
The reports of errors, mistakes and lack of data provide the IT system administrator
with information by comparing the IT system data with ideal, standard, normative data.
The reports for monitoring errors and mistakes are in the table form and present
those parameters that are incorrect, inconsistent or do not exist in the IT system. The
graphical form of these reports - charts - allow to analyse the situation and make the
right decision to prevent incompatibilities and deviations from the norm. The graph
showing the trend over a period of several months gives a feedback on a quality of
work performed by IT system users and a quality and effectiveness of implemented
corrective actions.
The reports of the lack of data in the IT system inform the IT system administrator
about the need to take actions coordinating the process of entering new data into the IT
system. Lack of data in the IT system (technological, purchasing, BOM) makes
impossible correct and timely work for people involved in production planning and
controlling.
The reports of incorrect data in the IT system inform the IT system administrator
about the need to take corrective actions. Errors and mistakes generate false infor-
mation and the IT system. It usually concerns information on stock and work in
progress level, a quantity of material and components needed for production, which
significantly affects the production planning process.
The idea diagram of the reporting system is shown in the Fig. 2.
IT system
(MS) provides
aggregated data or
information to
analyze the
SQL Server current situation
Database
technological production
Reporting
ReporƟng
data planning data
System
manufacturing subcontracting
data data
purchasing warehouse
data data
controlling other quality

data data data
a group of reports to supervise data correctness and completeness and

for monitoring errors and mistakes in the IT system.
reports of reports of
errors, mistakes lack of data
• parameters incorrect, • impossible correct and timely

inconsistent or not exist; work for people involved in
• analyze the situation and production planning;
make right decision to • need to take actions
prevent incompatibilities and coordinating the process of
deviations; entering new data into the IT
• the graph shows the trend - system;
gives a feedback on a quality
of IT system users work and
a quality and effectiveness of
implemented corrective
actions;
Fig. 2. An idea diagram of the reporting system

8 Conclusions
The subject of the paper is the reporting system that monitors the correctness of data in
the IT production management system. The reporting system is also a feedback tool
which helps to improve the process of entering data into the IT system.
The IT system administrator created reports on the erroneous data to monitor the
completeness and correctness of the data in the system.
The research provided with the knowledge about quality of communication be-
tween company departments involved in the entering data process.
The aim of the paper is to show the reporting system as a feedback tool, which is
also a part of process of improving data entering into the IT system.
The presented reporting system illustrates not only a data set for IT system users,
but also provides a useful feedback about errors and lack of data in the IT system,
improving this way the process of entering data and internal communication process as
well.
A feedback is a part of every process in the organization because it allows to assess
whether taken actions have ended according to the assumptions. Lack of feedback does
not allow to correct input data and makes improvement impossible. Feedback is an
important component of communication process within a company and is a manage-
ment function.
The main purpose of the reports is to give the IT system users a set of data for the
purpose of their further processing or to provide information for the management needs
to analyse the current situation and make the right decisions.
There is a group of reports created specifically for the IT system administrator to
supervise the correctness and completeness of data entered into the IT system and for
monitoring errors and mistakes appearing in the daily work of the IT system users.
The reports of errors, mistakes and lack of data provide the IT system administrator
with information by comparing the IT system data with ideal, standard, normative data.
The reports of incorrect data in the IT system inform the IT system administrator
about the need to take corrective actions. Errors and mistakes generate false infor-
mation and the IT system. It usually concerns information on stock and work in
progress level, a quantity of material and components needed for production, which
significantly affects the production planning process.
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(2013)
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Intelligent Systems and Computing, vol 792. Springer, Cham (2019)
The Conditioning of Macroergonomic Design
and Improvement of the Intelligent Building’s
Use and Service
Joanna Kalkowska(&) and Leszek Pacholski
Faculty of Engineering Management, Poznan University of Technology,

Strzelecka 11 Str., Poznan, Poland
{joanna.kalkowska,leszek.pacholski}@put.poznan.pl
Abstract. The subject of this study are the processes of macroergonomic

design, use and service as well as improvement of intelligent buildings. These
processes involve both the technological-organizational component as well as
human communities – users of these buildings subjectively treated in this sys-
tem. Authors have made an attempt to determine few following notions: the
intelligent building and macroergonomic conditions of designing and improving
objects and processes. The main research stream of this study regards the
relations combining the structural, technological and organizational design with
their future exploitation understood as usage and service the objects. The issue
of macroergonomic improvement of using and service the intelligent buildings
as well as processes of their exploitation is based on the Deming cycle.
Keywords: Macroergonomics Intelligent building’s Improvement

Exploitation
1 Introduction
In seventies of the twenties century, was created an attempt of universal defining the
subject of the research and technological results of the ergonomic engineering. This
subject was determined as the system combining: human societies and the organiza-
tional & technological component [1]. This approach has an universal exploitation and
improvement character because in both encloses: Man-Technology Object Interface
and Multiobject Manufacturing Systems – Human Society vs Organization-Technology
Systems & Processes [2, 3]. Hendrick and Kleiner called above mentioned overall
interfaces: Macroergonomic Systems [4]. The macroergonomic design and improve-
ment of the both exploitation and exploration of the functioning systems focuses on the
particular role of their “essence”, which is a composition of human communities with
their technological and managerial innovative solutions [5, 6].
For a correct design and improvement of macroergonomic systems it is necessary to
have cultural and knowledge assets of engineering methods, tools and technics for
exploitation and exploration. The term engineering is interpreter as a skill for design,
production, exploitation and utilization of technological creations. In the present paper
mentioned skills refer to a specific group of technological creation of the construction

https://doi.org/10.1007/978-3-030-20145-6_16
166 J. Kalkowska and L. Pacholski
engineering included in the conceptual category: intelligent buildings. Buildings of this

kind are perceived in the range of design and improvement of use and service as
engineer examples of macroergonomic systems.
2 Macroergonomic System of Intelligent Buildings
The macroergonomic system of intelligent buildings means a full system functionality

of a sustainable creation of a construction technology (building) that is equipped with
self-steering subsystems that also have abilities to adjust to the environment. Such
adaptation concerns both an exploitation’s reaction to changes in the external and
internal environment and the ability for improvement along the process of the tech-
nological and social progress. “… It is a relatively autonomic environment – it has all
the necessary functionalities built in. Its principal characteristics are hybrid connec-
tions, like: Smart Economy, Smart People, Smart Governance, Smart Mobility, Smart
Environment and Smart Living. Such combinations are creating a completely new
perspective on building objects as a whole” [7]. Intelligent buildings can have various
designations. They can be residences, hotels, offices, banks, hospitals, schools, etc.
their design, production (construction) and exploitation (use and service) and explo-
ration (improvement) requires expanding the classic engineering from the range of
construction, technology and organization. Energy efficiency and thermal isolations are
also key characteristics of intelligent buildings, just like sustainable use of natural
resources, safety of the user, protection from environmental parameters’ levels that can
be harmful for human health (noise, air pollution, microclimate, and vibrations),
accessibility, low costs of use and service and pro-environmental performance during
the entire life cycle of the construction. Intelligent neighborhoods or intelligent cities
must fulfill similar requirements. The macroergonomic system of intelligent buildings
should meet six following criteria:
– provide full protection and steering of the building’s assets,
– ensure the required technical and communication infrastructure of the building,
– provide the control of the functioning of the entire,
– enable an efficient connection with the exterior,
– maintain stable parameters of the material internal environment independently from
changes outside and facilitate the adjustments of these parameters to changing needs
of the user,
– meet demands of the ecological rationality of resource management (electric
energy, heat energy, water energy) and the criterion of the human factor (health,
safety, identity, visual comfort, esthetic design, intelligent management of usage
costs).
In practice, the realization of enumerated criteria in an intelligent building is steered by
three principal groups of technological systems:
– security system,
– system of monitoring and steering technical installations,
– computing system.
The Conditioning of Macroergonomic Design and Improvement 167
The first system usually encloses: the system of fire security, the transmission of fire
alarms system and defects signals, audible warning system, smoke and heat spread
control, fire suppression and extinguishing system, a system integrating fire protection
devices, evacuation system, air quality monitoring and ventilation for underground
garages, systems for removing smoke from evacuation paths, intrusion detection sys-
tem, access control system, closed circuit television system.
It is possible to divide a system of monitoring and steering technical installations
into two subsystems: power supply and electricity control, and comfort steering. The
electric subsystem includes: the division of energy, measuring and energy accounting,
the monitoring of technical installations, the electric installation cabling, lighting
control inside and outside of the building, emergency power supply, photovoltaic
subsystem. The comfort subsystem includes control of sources of the heat and coolness
(including renewable energy sources), air conditioning and ventilation steering, heat
steering, lighting and shading steering (shutters), horizontal and vertical transport
subsystem, audio-video subsystems, sound system steering, subsystem of parking
facilities.
Intelligent building has a computing system that encloses: a subsystem of structural
cabling and of active devices, computing networks, data transmission devices, security
subsystem, links with external networks, vision and sound transmission subsystem,
telephone exchanges.
The four systems of macroergonomic management ensure an efficient functioning
of technical installations in intelligent buildings are following:
– BMS (Building Management System) – a system for power supply management
and for steering electricity, comfort, information and communication systems.
– SMS (Security Management System) – security system for the building.
– BMCS (Building Management and Control System) – global system of manage-
ment and steering in the building, superior to BMS and SMS (its goal is gathering
and analyzing information from the entire object and exchanging data with all
cooperating systems and subsystems).
– EMS (Energy Management System) – system of control of the energy supply in the
building.
All mentioned systems and automation and management processes in the building
require determined norms and standards. Standardization topics enclosing issues in the
design, realization, exploitation and improvement of intelligent building’s is largely
diversified. It refers to areas like construction, ergonomics and health protection, fire
security, telecommunication, informatics, energy, automation, data transmission in
control systems, electronics, property protection.
3 Smart Building Center
Authors of the publication know an office and production intelligent facility named
Smart Building Center [8], which is a seat of a design and construction company
specialized in intelligent objects that uses practical solutions, like:
– in the field of thermal energy production: the use of cooperation of the solar wall
heating assembly hall for solar collectors, ground and air heat pumps (all controlled
by BMS system),
– in the field of production and economic use of electric energy: use of photovoltaic
panels and system of lighting automation with a motion detector steered by BMS,
– in the field of practical use of climate conditions: architectural solution taking into
account the orientation of the building relative to the world sides (different thick-
nesses of thermal isolation, different type and size of glazings),
– in the field of economic use of water: use of tap aerators and water flow restrictor,
use of local plants that doesn’t require frequent watering,
– in the field of reduction of cooling demand in the summer: reduction of the
absorption of the heat from outside by using alight-colored membrane and the roof
and lighting shelfs in the facade of the building and the white pavers around the
building,
– in the field of intelligent cost management in the exploitation of the object: use of
Building Management System (BMS) that gathers and processes over a thousand
variables of exploitation, reacting to meteorological conditions, adjusting the
building to the work mode of the people staying in the building. A laser monitoring
of the deflections of the roof structure of the assembly hall increases the safety of its
users and steers the process of the snow removal in winter.
Exploitation effects obtained by Smart Building Center, comparing to traditional
solutions, enclose among others:
– 55% lower Energy demand,
– 45% lower use of water,
– 30% lower use of electric energy for lighting,
– 35% smaller costs of cooling the object in the summer,
– 30% increase of productivity and 60% reduction of absence of the staff (information
are gathered from promotion materials of the company WPIP).
4 Design, Exploitation and Improvement in Intelligent

Building’s Management
Technological installations of the intelligent buildings’ macroergonomic management

use among others modern automation, computing, telecommunication technologies.
Fast development characterizes them. The intensity for shortening the time from the
appearing of a determined technological innovation and its commercialization is
constantly growing. Innovations are often discontinuitive, so previous experiences
become less useful.
Today, the need to implement a construction, technological and organizational
improvement of intelligent building’s exceeds possibilities of the user of such type of
objects. The traditional model of project management including construction design,
technology for realization of the object, practical realization, i.e. constructing and
equipping the object and providing an exploitation instruction to the user, does not meet
demands of clients in the field of intelligent buildings. The specific character of these
objects requires entrepreneurs realizing intelligent building’s starting to realize an enri-
ched cycle of the project management including additionally exploitation management
and improvement of intelligent buildings. In the same time exploitation and improvement
brings not only supplementary tasks, but also a danger of a so-called ambidexterity [9,
10]. Improvement management requires searching and developing new possibilities of
providing profits to the company in the future. But exploitation management is basing on
using the existing competences for the current viability of the company.
Exploitation venture enclose the use and service of the existing systems: Building
Management System, Security Management System, Building Management and
Control System and Energy Management System. In this case, a managing company is
basing on standards, repeatability and routine of actions, as well as on operational
competences. Results of such type of actions a rather solid and with low business risk.
From the side of the organizational structure the exploitation can be based on for-
malized solutions, often autocratic, demanding a conservative organizational culture
[11]. Sometimes the improvement of exploitation is incremental in its character. It is
based on evolutionary logic, typical for processes of selection and it concerns areas, in
which the company was good until now.
Innovative macroergonomic improvement of the intelligent building’s is connected
to new ideas of implementing systems: BMS, SMS, BMCS and EMS, which are in the
phase of development. Such approaches require specific competences, based on cre-
ativity. New solutions for products, technologies and organization, usually are revo-
lutionary, so they can require risk inputs without the prospective of profit in short term
[11]. The implementation of new solutions from the range of mentioned systems is
based significantly more on the PDCA Deming cycle than a routine exploitation
(Fig. 1).
Fig. 1. PDCA Deming cycle [12]

In actions of the PLAN, it is necessary to define innovations based on analysis of its

assumptions, gathered data on the innovation and determining the goal and the scheme
for coordination of its implementation. Action DO require preparing a computer model
simulating the logic of implementation the new solution for the product, technology
and organization. Action CHECK are connected to the implementation of the model for
the validation of the new solution through analysis of results of the computer simu-
lation. The phase ACT encloses the realization of the presentation of results of the
simulation and it is about getting a consensus for implementation of the new product,
technology or organization in the range of macroergonomic improvement of the
intelligent building’s use.
Macroergonomic innovations require visionary leading, flexible organizational
structures and organizational culture supporting freedom of creative thinking. They
require also searching development opportunities for perfecting the status quo. This
research should be founded on the concept of agile management [13, 14]. One can
characterize it with four features of innovation agility of the intelligent building’s
(Fig. 2).
Fig. 2. Four features of innovation agility of the intelligent building’s based on: [14]
These features enclose: BRIGHTNESS, which is the ability of the enterprise

managing the improvement of the intelligent building’s to fast perceiving development
innovations and threats coming from competitors. FLEXIBILITY, which is the ability
to widen the range of using own exploitation assets. SHREWDNESS, which is about
the ability of benefiting from the knowledge in the range of development innovation
and managing new situations in practice. INTELLIGENCE, which is the ability of the
enterprise managing the project management to understand the variability of the situ-
ation and the skill to purposeful respond to it.
5 Conclusion and Acknowledgement
Enterprises realizing the new variant of project management of the intelligent buildings
are forced to add to their range of action issues of its simultaneous use and
improvement, in addition to the preparation of the construction, technology and
organization of the realization, as well as the practical realization of the object. Such
situation requires searching for long-term efficiency of management in the company,

based on balance between exploitation and exploration. It is possible to try to achieve
this balance by realizing enumerated actions in different organizational units of the
enterprise that puts into practice the new variant of project management. Such actions
must be integrated and connected on a strategic level of company’s management. This
requires eclectic organizational structure, with co-existing units having various pro-
fessional competencies, different organizational culture and separate motivation sys-
tems and leadership [11]. The instrumental side of the support for decisive processes of
the organization and management needs that the strategic level uses the computer
simulation technology based on the Deming cycle.
Acknowledgement. The present publication was prepared within the NCBiR research project,
Intelligent Development Operational Programme 2014–2020 (POIR.01.01.01-00-1229/17) enti-
tled: Development of an innovative system for project management, construction, operation and
development of Intelligent Autonomous Environment (IAS) [7] carried out by WPIP and Poznan
University of Technology.
References
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A., Bridger, R.S., Charteris, J. (eds.) Global Ergonomics, pp. 855–858, Elsevier, Amsterdam
- Oxford – New York (1998)
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Occupational Ergonomics, Advances in Intelligent Systems and Computing, vol. 487,
pp. 3–14. Springer International Publishing, Cham (2017)
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Lawrence Erlbaum Associates Publishers, Mahwah (2002)
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The Macroergonomic Improvement of Total
Quality Management Industrial Systems
Milena Drzewiecka-Dahlke(&) and Leszek Pacholski
Faculty of Engineering Management, Poznan University of Technology,

Strzelecka 11 Str., Poznan, Poland
{milena.drzewiecka-dahlke,
leszek.pacholski}@put.poznan.pl
Abstract. Quality based macroergonomic improvement of industrial systems

involve both a technological-organizational component as well as human com-
munities subjectively treated in this system. The essence of Total Quality
Management (TQM) is a fact of current, dynamic updating the mentioned above
macroergonomic relation creating the industrial system. The base of this update is
current identifying and assessing the TQM reaction on changing internal and
external macroergonomic conditions. The publication presents the expert method
of nonconformities’ estimation and identification of TQM current state with its
primary assumptions. The analysis of these nonconformities using the quanti-
tative examinations were conducted in 384 industrial enterprises. On this base a
conceptual model of undertakings aiming at permanent improvement of TQM
was proposed.
Keywords: Macroergonomics Total Quality Management Industrial systems
1 Introduction
In seventies of the twentieth century, was created an attempt of universal defining the
subject of the research and ergonomic industrial applications. This subject was deter-
mined as a relation (system, network, hybrid) combining: human societies (mission,
strategy, objectives & tasks of the industrial systems; identity of the industrial system,
qualifications & skills, interpersonal relations) and the organizational & technological
component (organizational structure of the above system, functions of organizational
units, procedures, scopes of activities, instructions; equipment assets of the industrial
system, technology) [13, 15]. In works from the mentioned period and further (which
concerned ergonomics of industrial manufacturing processes), this relation was
determined consequently the Multiagent Manufacturing System [9, 12, 14]. This
approach has a universal character because in both encloses: Man-Machine Interface
Industrial Systems Technology (reduced to the unitary form of work station) and
Overall Organization-Machines Technology [8, 10]. In eighties of the twenties century
H. W. Hendrick called these overall interfaces: Macroergonomic Systems [6].
Today’s macroergonomic approach (linking human societies and the technological
& organizational component) concern the internal organization of industrial systems,
but they can also enclose structural conglomerations of groups of many enterprises.

https://doi.org/10.1007/978-3-030-20145-6_17
174 M. Drzewiecka-Dahlke and L. Pacholski
These systems, represented by modern enterprise, have an ordered functional form, but
they also can be network complex interrelation, hybrid or chaotic connections. The
macroergonomic improvement of the functioning of industrial systems focuses on the
particular role of their “essence”, which is a composition of human communities with
their technological innovation and innovative managerial solutions (like Total Quality
Management), social and business objectives [11].
The quality based macroergonomic improvement of industrial systems involve both
a technological-organizational component as well as human communities subjectively
treated in this system. The essence of Total Quality Management (TQM) is a fact of
current, dynamic updating the mentioned above macroergonomic relation creating the
industrial system. The base of this update is current identifying and assessing the TQM
reaction on changing internal and external macroergonomic conditions.
To ensure the proper functioning of industrial systems, business organizations need
to recognize the critical importance of the quality of such systems, which is their
inherent attribute and a benchmark for assessing the way every aspect of industrial
operations is managed. Successful macroergonomic improvements in total quality
management (TQM) require respective organizations to develop an adequate organi-
zational culture. Organizations also need to modify their strategies, methods, tools,
techniques and resource management. Such modifications require a proper under-
standing of the significance of human communities and the management of TQM
knowledge in macroergonomic systems. Computer software designed to ensure the
conformity of industrial TQM systems with ISO 9000 standards may help integrate the
macroergonomic improvements of TQM into overall management systems as an
alternative preferred to subcontracting the job to an external expert who is poorly
placed to resolve quality issues [1]. Successful TQM implementations require the
involvement of employees across the board from top executives to rank-and-file
employees, all of whom need relevant continuous training and education.
2 Research Methodology
The key pragmatic consideration is to identify and assess failures to adhere to standards
in any existing systems. This applies to both actual and potential nonconformities. The
outcomes of such identifications and assessments can then be used to make macroer-
gonomic improvements to industrial TQM systems by means of relevant preventive
and corrective measures.
The author diagnoses various methods of furthering macroergonomic improve-
ments in industrial TQM systems and increasing worker involvement in the identifi-
cation and assessment of operational nonconformities. To that end, use is made of
quantitative surveys and specifically the CATI (computer-assisted telephone interview)
surveying technique. The target group for the surveys are Poland-based enterprises
having a quality management system in place that is certified for ISO 9001 compliance.
The sample size was set on the basis of the minimum sample size criterion. At the time
of designing the survey, the author had access to data on 10,527 ISO-9001 certificates
held by Polish companies. Upon adopting the confidence level of a = 0.95, the diag-
nostic sample size was set at 371. A total of 384 interviews were conducted. Those of
The Macroergonomic Improvement of Total Quality Management 175
the respondents who indicated they had not reported the nonconformities in question
(these came from 22 organizations: 1 large, 8 medium-sized, 7 small and 6 micro) were
instructed to refrain from answering further questions. This accordingly reduced the
number of completed interviews [3]. A breakdown of the respondents by company size
is provided in Fig. 1.
Fig. 1. Survey respondents by company size.
The respondents formed a mixed group of business owners, TQM experts and
quality assurance staff from the concerned companies. Since all of the above respon-
dents were required to have a knowledge of TQM, they were classified as internal TQM
experts.
The samples were selected by a combination of the quota and random sampling
methods. The quotas were set to reflect the sizes of both the concerned companies and
the respective voivodships, or regions, of Poland [3].
3 Results of Research
To ascertain whether the numbers of the worker-reported nonconformities in existing

industrial TQM systems were affected by worker willingness to report such irregu-
larities, the respondents were asked the following question: “At what level, in your
view, do workers in your organization report nonconformities in the existing industrial
TQM systems?”. The responses were captured on a five-point scale ranging from
1 = no such nonconformities are reported, to 5 = all such nonconformities are reported.
The survey found that 56% of the respondents from small, medium-sized and large
companies assessed the level of nonconformity reporting in their organizations as low
to medium (scores 1, 2 and 3). In micro-enterprises, the share of such responses fell
below the 30% mark. This shows that each organization category faces the problem of
workers unwilling to report nonconformities in their TQM system. A very high level of
issue reporting (the score of 5 or 48%) was indicated by micro-companies. The
reporting level declines to 18% in small, 8% in medium-sized and 10% in large
companies [4]. Further details are provided in this paper – for the findings of the
survey, see Fig. 2a.
Detailed records on the variability of irregularity reporting by workers (Fig. 2b)

reveal a median of 3 in the small, medium-sized and large companies participating in
the survey. This means that as much as 50% of the respondents indicated an unsatis-
factory level of nonconformity reporting by workers. Only in organizations employing
up to 10 workers did the median reach 4.
Fig. 2. Employee reporting of nonconformities in existing TQM industrial systems (a) percent-
age of answers, (b) variability of answers around the middle point (the median). Source: own
work based on [4].
The statistical dispersion was the smallest for responses received from small,
medium-sized and large companies, with the interquartile range falling between 3 and
4. Among such companies, nonconformity reporting at level 1 was an outlier. In micro-
companies, no reporting data points (score 1) fall within range, although the median is
considerably higher, at 4. Therefore, one cannot claim that the company definitively
does not face an insufficient reporting problem [4].
To properly improve industrial TQM systems, it is crucial to identify nonconfor-
mities linked to management, diagnose their root causes, formulate corrective actions,
implement the resulting action plan and assess the actions taken for effectiveness. To
achieve the above, it is essential to employ additional industrial TQM system
improvement instruments. Therefore, the following stage of the project focused on
assessing the degree to which such instruments were utilized. The respondents were
asked: “Does your company use managerial methods and TQM tools to support
nonconformity analysis?” The findings of that survey are summarized in Fig. 3.
Fig. 3. Percentage of enterprises using methods and tools that support the assessment of
nonconformities in the existing industrial TQM system.
Respondents from large companies were the most likely to use the majority of TQM
methods and tools. The majority of respondents representing large companies (i.e.
companies employing more than 249 workers) use of the Ishikawa diagram to analyze
nonconformities (23.08%), followed by those that apply FMEA (15.38%), the Pareto
diagram (13.46%) and 5W2H (15.54%). Clearly, the percentage share of the users of
any given instrument is relatively low, not exceeding 25% of the organizations [5].
With respect to medium-sized companies, 35.6% of the respondents admitted they
were using TQM instruments. Their most commonly employed method was FMEA
(16.67%) and the Ishikawa diagram (8.33%). 27.5% of small-company respondents
indicated they used quality management methods and tools. Their most popular tool is
FMEA (14.17%), followed by 5W2H (5.83%). The percentage of the users of any
specific instrument is very low, falling below 15% [5]. In micro-companies, the use of
TQM instruments was indicated by 25.9% of the surveyed. Their most popular tools
are FMEA and FTA (8.62%) as well as the Ishikawa diagram (6.90%) [5].
Due to the fact that the economy is evolving towards information society, the
survey was used to check whether the same results are obtained by means of the
identification and assessment of the conformity of existing quality management solu-
tions with applicable standards. To assess the share of the respondents who use
applications that support the identification and assessment of nonconformities, the
respondents were asked: “Do you use a dedicated computer application (software) that
supports the recording of and oversight over nonconformities?”. For the findings, see
Fig. 4.
Fig. 4. Percentage share of enterprises using software to oversee nonconformities in existing

industrial TQM systems. Source: [3].
Only a mere 23.5% of the surveyed organizations indicated they were using a
computer application to oversee nonconformities. The biggest share (32.7%) of such
organizations were large undertakings. The percentage of affirmative responses decli-
nes with company size, down to 13.8% in micro-enterprises. This is not to say that
interest in such solution is common. The most frequently applied functionalities are the
storage of nonconformity records, the attribution of nonconformities to company
functions, the recording of nonconformity causes, the recording of any corrective
and/or preventive measures undertaken by the concerned company, and record man-
agement. The least popular functionalities included the reporting of nonconformities by
internal and external customers and the generation of reports using such quality
management instruments as FMEA and the Pareto chart. Such functionalities are of key
importance given the vital significance of including all company workers in the process
of macroergonomic improvements to industrial TQM systems. Moreover, studies show
that the enterprises that use computer applications to support macroergonomic
improvements to industrial TQM systems rarely provide access to such software to all
of their workers and customers, even though such an approach appears to be highly
beneficial. It is also disquieting that, across all categories of the surveyed enterprises,
respondents from the organizations that do not use such software find it the least urgent
to acquire such applications [3].
In order to identify correlations between company size and the analyzed aspects of
macroergonomic improvement of TQM industrial systems, the correlation coefficient
was used made of. The Pearson linear correlation was applied specifically to the
verification of similarities between answers to Yes/No questions and answers given to
the questions that required responses on a numerical scale or in the form of the Yule
Phi contingency coefficient. No statistically significant correlations were discovered
between the identified issues and company size.
Upon analysis of the above quantitative surveys, the decision was made to develop
a single universal solution for all company types (regardless of worker headcount).
4 Conceptual Model of Undertakings Aiming at

Macroergonomic Improvement of TQM Industrial Systems
The starting point adopted for the model developed for the purposes of this study was
to utilize an expert method for the identification and assessment of nonconformities.
Each step of the model follows the iterative Deming cycle of PDCA, which entails a
continuous loop of four actions: P – plan, D – do, C – check, and A – act) [2]. The
overall concept underpinning the method is summarized in Fig. 5.
Fig. 5. Conceptual model of undertakings aiming to achieve macroergonomic improvements to

industrial TQM systems.
Before proceeding to any further steps of the survey, the respondents were asked to
conduct an internal-expert self-assessment. To that end, a sheet was created for the
assessment of nonconformities in the existing system against prescribed standards and for
the identification of key macroergonomic improvements in the industrial TQM system.
Fig. 6. Self-assessment results compared to the overall respondent population (a) radar chart,
(b) the general level of maturity.
The proposed assessment sheet supports the identification of areas in need of improve-
ment, periodic progress assessments and benchmarking against other organizations from
a representative sample of 362 companies.
To define the reference scores for the assessment of particular organizations (on the
assessment sheet), use was made of opinions gathered in a quantitative survey by the
CATI technique. The assessment includes fife area: the way in which nonconformities
are identified, the level of nonconformity reporting by employees, nonconformity
analysis, the use of methods and tools to support nonconformity identification and
assessment, and the use of a dedicated computer application.
Thus, the focus of the assessment is dual, comprising both technological and
organizational areas as well as social factors.
Once the assessment is completed, enterprises receive collective results for each of
the five assessment areas presented on a radar chart (Fig. 6).
Figure 6 summarizes results from a simulation of a hypothetical undertaking. It
shows the average rating for each assessment area recorded for the overall population
of the quantitative survey respondents, so as to enable benchmarking. As a way to
complement the information provided, the respondents were requested to indicate the
general level of maturity in the area in question. To that end, an average rating was
calculated for the five assessment areas. The average obtained for the overall popu-
lation can then be referenced against the scale of qualitative maturity [7].
To encourage workers to identify and assess nonconformities in an existing
industrial TQM system, the author proposes to use the VIP principle outlined in Fig. 7.
• Recognize the responsibility of workers for actively identifying

nonconformities in their respective fields within the organization.
• Proclaim the importance of the identification of the non-conformity by
workers and specify the benefits gained - give employees credit and
V express appreciation.
VALIDITY • Reward the worker for accurate reporting of nonconformity(ies).
• Tell your workers that the organization could not succeed without
their involvement. Make your employees feel valued and essental!
• Tell your workers who to report the nonconformities they notice to
and how to do it (hold meetings or use MBWA)
I • Make sure to provide feedback - employees will be more likely to
INFORMATION report nonconformities if told how they are helping the organization.
• Include workers in identifying the causes of nonconformities.

Resolve problems together.
• Encourage workers to improve the organization together. Gather
their ideas.
P • Look for potential nonconformities together.
PARTICIPATION Make sure your workers receive proper training.
Fig. 7. The VIP principle of encouraging employees to identify and assess nonconformities in
an existing industrial TQM system.
It is recommended that employees be informed in the course of either special

meetings or MBWA (management by wandering around). It is also critical to prepare
an employee training plan and adopt an appropriate recognition and reward system.
Should the self-evaluation analysis generate negative results, the relevant organization
should proceed to make macroergonomic improvements to its industrial TQM system
by the Global 8 Disciplines (G8D) method. If the company does not use any computer-
assisted system for macroergonomic improvements in its industrial TQM system, it
should purchase an off-the-shelf software package or commission the development of
such a package or develop its own.
References
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ISO Management Systems, pp. 17–22, July–August 2003
2. Dahlgaard, J.J., Kristesen, K., Kanji, G.K.: Fundamental of Quality Management. Scientific
Publisher PWN, Warsaw (2000). (in Polish)
3. Drzewiecka-Dahlke, M., Pacholski, L.: Analysis of computer support of nonconformities
supervision in companies with quality management systems. Probl. Qual. 12, 19–23 (2018).
(in Polish)
4. Drzewiecka-Dahlke, M.: Company size as the differentiating criterion of employees
engagement in the process of nonconformities identification. Probl. Qual. 7–8, 21–28
(2016). (in Polish)
5. Drzewiecka-Dahlke, M.: Use of quality instruments for analysis of nonconformity in polish
enterprises. In: Scientific Papers of Silesian University of Technology. Organization and
Management Series, no. 100, pp. 87–98 (2017). (in Polish)
6. Kałkowska, J., Siemieniak, M., Pacholski, L.: The future of macroergonomic manufacturing
systems. In: Goossens, R. (ed.) Advances in Social and Occupational Ergonomics Advances
in Intelligent Systems and Computing, vol. 792, pp. 365–374. Springer, New York (2019)
7. Łukasiński, W.: Maturity of a Pro-Quality Managed Organization. Poland Economic
Publisher, Warsaw (2016). (in Polish)
8. Pacholski, L., Jasiak, A.E.: Macroergonomic effects of rapid economic renewal. In: Scott, P.
A., Bridger, R.S., Charteris, J. (eds.) Global Ergonomics, pp. 855–858. Elsevier, Amsterdam
(1998)
9. Pacholski, L., Mateja, B.: Macroergonomic development of industrial production processes.
In: Salvendy, G. (ed.) Advances in Occupational Social and Organizational Ergonomics,
Advances in Human Factor and Ergonomics Series, pp. 802–812. CRC Press/Taylor and
Francis Group, Boca Raton (2010)
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Occupational Ergonomics Advances in Intelligent Systems and Computing, 487, pp. 3–
14. Springer, New York (2017)
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Ergon. Manuf. 18(5), 515–524 (2008)
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Set Theory in Human Factors, pp. 211–225. Elsevier, Amsterdam (1986)
14. Pacholski, L.: Fuzzy logic application in ergonomic renewal of multiagent manufacturing
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Polish)
The Ergonomics of Work Conditions as Force
Element of the OHS Management
Adam Górny(&)
Faculty of Engineering Management, Poznań University of Technology,

ul. Strzelecka 11, 60-967 Poznań, Poland
adam.gorny@put.poznan.pl
Abstract. The effectiveness of systemic occupational health and safety man-

agement is linked inextricably to the nature and scope of improvement mea-
sures. In improving OHS management, organizations which have a management
system in place need to account for all factors affecting their ability to secure
their desired outcomes. Such outcomes include the satisfaction of ergonomic
criteria, whose application enhances the robustness of systemic management
defined as the successful establishment of worker-friendly working conditions.
In addition, one of the most critical focal points emphasized in the ergonomic
principles that constitute an integral part of systemic management is the role of
worker and factors related to the working environment. Organizations that
recognize such factors while complying with ergonomic standards will be able
to fully enjoy an effective management system and ultimately generate benefits
for the organization itself and its stakeholders. The paper underlines the
importance of ergonomic standards governing the effectiveness of systemic
occupational health and safety management. It identifies ergonomic require-
ments as a key to improving the effectiveness of systemic management while
recognizing that failures to satisfy such requirements will inevitably undermine
such effectiveness.
Keywords: Ergonomics OHS management Working conditions

Safety improvement Improvement principles
1 Introduction
No analysis of factors for the success of an industrial organization can be complete

without recognizing strong correlations between working conditions and performance.
Production efficiency depends vitally on the successful establishment of conditions that
enable workers to complete their work properly [1].
The above is particularly crucial in designing working conditions on the basis of
systemic requirements. Since any organization aspiring to secure proper working
conditions is compelled to employ the principles of systemic occupational health and
safety management, one can safely presume that the successful achievement of work-
related benefits depends on the effectiveness of such a management system.
To create an environment conducive to effective work performance, an organiza-
tion’s occupational health and safety management system should incorporate all

https://doi.org/10.1007/978-3-030-20145-6_18
The Ergonomics of Work Conditions as Force Element 185
improvement aspects, including those that enable the company to set up a worker-
friendly working environment [2]. These include ergonomic standards, which are of
critical importance for creating a working environment that meets standards beyond the
minimum requirements mandated by law. In seeking to comply with ergonomic
standards, organizations commonly identify new requirement areas tied closely to the
specific characteristics of their workers. Once such requirements have been identified,
companies can fully rectify or mitigate any non-conformities that exist in their working
environment causing strains and discomfort for workers [3–5].
The aim of this paper is to outline the role and significance of ergonomic
requirements for improving occupational health and safety management systems and
for supporting organizations in the achievement of their intended outcomes. The author
notes that the incorporation of ergonomic requirements into management systems will
strengthen such management helping the concerned organizations to mitigate any
hazards and strains that adversely affect working comfort.
2 Occupational Health and Safety Management
2.1 Nature of Systemic Occupational Health and Safety Management

A management system is a collection of an organization’s mutually interrelated units
that contribute to the formulation of policies and goals and to the ultimate achievement
of an organization’s aims (section 3.10, [6]). With respect to occupational health and
safety standards, OHS policy sums up an organization’s commitment to prevent work-
related injuries and diseases and secure safe and healthy working conditions.
At its heart, the mission of systemic occupational health and safety management
can be equated with an effort to establish conditions that ensure safe work performance
[7]. Any prerequisites for the safe performance of work need to be fulfilled systemically
by arranging all of the measures taken by an organization into a system of successive
steps. The primary goal of systemic occupational health and safety management is to
pursue and achieve the adopted OHS policy. The measures an organization takes to
achieve this goal form a continuous improvement loop that helps to increase the
effectiveness of improvement measures while triggering a search for new areas of
improvement that will boost the effectiveness of such systemic management [7, 8].
Continuous improvement, which underpins effective management, must focus on
failures to both ensure adequate working conditions and meet the requirements that
relate to the system’s functioning [6, 9].
A vital goal pursued by occupational health and safety managers is to create
conditions that allow workers to function well in their working environment. For this to
be possible, organizations need to define the needs and expectations of all concerned
parties along with the specific impacts on task performance of failures to identify
factors that impede the completion of tasks. As a secondary consideration, organiza-
tions need to specify the scope of application of their adopted OHS management
system.
A corporate occupational health and safety management system should be designed
on the basis of the outcomes of risk assessments [10–12]. Risk assessments help
186 A. Górny
identify factors that potentially generate benefits. They also define the significance of
such factors for the successful achievement of benefits through the use of systemic
occupational safety management. Risk assessments focus on factors that contribute to
strains, hazards and disruptions to the effective operation of a management system in an
organization.
2.2 Systemic Occupational Health and Safety Management

Requirements
The key requirement areas that determine the scope of systemic OHS management are
to ensure the effective deployment of a management system, an assessment of the
effects of such deployment and the verification of improvement measures. To that end,
it is essential to account for the concerned company’s organizational background and
specifically for its environment and the needs and expectations of all stakeholders,
including the organization’s workers.
In putting in place an occupational safety management system, organizations
should take all actions necessary to achieve effectiveness and recognize mutual inter-
relations among such actions. The individual stages of systemic management must
form a PDCA improvement loop. Such stages are [6, 13]:
– The planning of measures,
– The provision of the support necessary for the implementation of measures,
– The completion of such measures,
– An assessment of measure outcomes,
– Improvements to newly installed systems.
The measures necessary to determine the manner in which an OHS management
system will be implemented should be planned on the basis of risk and opportunity
assessments [6]. Such risks and opportunities have to do with the occurrence or non-
occurrence of any untoward factors that may hamper the achievement of prescribed
goals. In the planning of measures, it is crucial to consider best practices and apply best
technical and organizational solutions. Just as importantly, organizations should tailor
their management systems to their financial, operational and business capacities [14].
The key aim in planning the application of adequate systemic measures is to build
the capacity to achieve goals. This requires a proper assessment of the concerned
organization’s improvement potential, the extent of risks and the potential impact of
disruptions on ultimate outcome of measures. In particular, planners should account for
[1, 6, 13]:
– Any relevant regulations and standards,
– The company’s preparedness to respond to potential failures,
– The ability to respond to failures adequately,
– The nature of the organization’s processes,
– The outcomes of measure effectiveness assessments.
In planning measures, due account needs to be taken of possible improvements to
the existing management system. Reasonable improvements should increase the
organization’s capacity to achieve its objectives. Its measures should be practical,
achieve the desired corrective effects, eliminate the root causes of non-conformities or
adverse events and prevent their recurrence [1, 13].
To support their implementation of systemic OHS management principles, orga-
nizations should [6]:
– Identify ways to develop and deploy the management system, ensure a proper
environment for its operation and improve such a system and environment
continuously,
– Assess the required worker skills, supplement any missing skills and ensure that all
workers have the requisite education, training and experience,
– Raise worker awareness of their impact on system operation and the potential
consequences of improper behavior and violations of adopted principles,
– Formulate, implement and ensure the fulfillment of prerequisites for the proper
operation processes necessary for external and internal communication at all levels
of management and among all concerned parties,
– Keep records of any measures taken and adopt rules for oversight over any infor-
mation in such records that is essential for the effective operation of the adopted
management system.
All management system improvements should adhere to operational plans designed
to [1]:
– Mitigate or eliminate risks associated with processes, actions, materials, devices,
machinery and equipment, preparation for work and protective clothing and
equipment,
– Help manage change to ensure organizations benefit from opportunities and elim-
inates irregularities,
– Secure the supplies needed to conduct production and/or provide services in
keeping with the requirements of the adopted management system.
To ensure that the measures taken are effective and contribute to the efficient
operation of the existing management system, organizations need to assess them reg-
ularly. Occupational safety assessments should include:
– The monitoring, measurement, analysis and assessment of compliance with legal
requirements and measures adequate to any identified hazards, threats and
opportunities,
– An internal audit designed to assess system implementation and operation,
– A management check by senior executives to ascertain the fitness for purpose,
adequacy and effectiveness of the solutions in place.
Improvements of an existing system should produce the desired operational out-
comes. The purpose behind improvement measures is to detect and address adverse
events and non-conformities. The non-conformities may apply to either the scope of the
operations conducted by an organization or the satisfaction of systemic requirements.
By assessing improvement measures, organizations can evaluate the effectiveness
of systemic management and of the improvement measures taken to achieve the
organization’s objectives.
188 A. Górny
Through their improvement measures, organizations should be able to improve

their performance in the field of OHS in keeping with their OHS policies and goals.
Such actions should be in line with the suggestions and requirements of stakeholders
and should ultimately ensure the achievement of better results with fewer resources. All
measures taken in a company that meets systemic management requirements must
result in continuous improvements in fitness for purpose, adequacy and effectiveness.
The success of such improvements hinges on promoting a safety culture and workers
taking ownership of relevant measures [15].
3 Ergonomics for Systemic Occupational Safety Management
3.1 Role of Ergonomic Standards Incorporated into the Systemic

Management Framework
For a number of years now, ergonomic requirements have no longer been viewed as a
lesser addition to safety standards. Increasingly, they are considered to be fully-fledged
criteria for the assessment of safety systems, designed to ensure the effective perfor-
mance of people in a working environment [16]. Thus, they are a critical part of the
systemic design of workstations and workplaces that must not be neglected.
In implementing measures in pursuance with such systemic occupational health and
safety management guidelines as reflect ergonomic standards, one should [17]:
– Formulate systemic occupational health and safety management guidelines,
including those required by law and ergonomic standards,
– Create conditions that ensure safety at work,
– Define criteria for the assessment of measures taken to mitigate risks and strains,
– Ensure conditions necessary to ensure the effective performance of work.
The incorporation of ergonomic standards into safety requirements will help rectify
the non-conformities that lead to issues generally described as distortions to the safety
environment [16]. This applies broadly to the adverse effects of the working envi-
ronment on workers and includes threats classified as social. The most common issue in
this context is stress at work experienced by workers and detrimental to their health.
This means also that working conditions should be designed with proper account taken
of the ergonomic standards associated with the psychological aspects of work
performance.
The rationale behind incorporating ergonomic requirements into systemic occu-
pational safety management guidelines is to improve the quality and scope of worker
health protection and ultimately enable them to perform their jobs effectively. This
helps boost the physical and mental capabilities of workers and keep their physical and
mental fitness at the required level [14, 18].
3.2 Measures to Be Taken When Incorporating Ergonomic Standards

into Systemic Requirements
A key part of systemic occupational health and safety management is to prevent the
occurrence of hazards and strains associated with the nature and place of work. Hence,
safety can well be described in reference to [9]:
– The holistic model – which is one based on the definition of health as a precondition
for complete physical, mental and social well-being rather than solely as an absence
of diseases and impairments,
– The well-being model – which views health as a process in which individuals and
groups aspire and have the ability to change so as to satisfy needs.
These two approaches clearly show the need to incorporate into systemic
requirements criteria that go beyond the most fundamental safety aspects and that
merely ensure that risks are mitigated to an acceptable level. This need is met by
ergonomic requirements. Measures that incorporate the ergonomic side of systemic
occupational health and safety management are presented in Table 1.
Table 1. Sample measures taken to broaden the scope of OHS management by the inclusion of
ergonomic standards in the creation of working conditions and the working environment
Systemic Description of measures taken with proper account taken of ergonomic
requirement considerations
Organizational - Impact on the environment that includes ensuring workers’ well-being
context in an organization’s environment (by accounting for the ergonomic
aspects of the functioning of workers in a business environment)
OHS policy - The incorporation of ergonomic requirements into policies and the
definition of ergonomic improvement goals on that basis
- Ensuring the dedication of all workers to creating worker-friendly and
healthy working conditions
- Having workers commit to ensure the effects of continuous
improvement and comply with relevant laws and regulations
OHS goals - The planning for conformity with ergonomic occupational health and
safety management goals and the identification of such goals
- The identification of opportunities and ways to incorporate ergonomic
standards into general occupational safety goals
- The improvement of OHS outcomes by tailoring measures to worker
needs and expectations
Planning - The planning of measures designed to address the threats and
opportunities associated with ergonomic requirements and the benefits
to be derived from their incorporation
- The planning of measures aimed at eliminating ergonomic risks and
preventing strains and other untoward outcomes
- Taking proper account of ergonomic assessments to eliminate the risk
of injuries
(continued)
190 A. Górny
Systemic Description of measures taken with proper account taken of ergonomic
requirement considerations
Support - Raising the awareness of the management and workers across the
board of the need for and the advisability of improvement measures
going beyond minimum safety requirements
- Ensuring efficient, effective and worker-friendly communication
Measures - Defining ergonomic criteria for assessing the operation of processes
- Adapting working conditions to the individual needs of workers
- Using protective measures (including personal protection equipment)
to ensure compliance with ergonomic standards
Effectiveness The assessment and measurement of processes with due account taken
assessment of ergonomic criteria
Management - Assessment of the need to adopt changes that address the individual
review needs of workers
- Assessment of the need to adopt ergonomic standards as valid criteria
for the appraisal of management outcomes
- Considering the option of achieving worker well-being by assessing
measures and selecting the way in which they will be implemented
Improvement - Identification of the causes of non-conformities associated with
insufficient compliance with requirements
- Adoption of changes reflecting the individual needs of workers
- Recognition of ergonomic requirements as valid criteria for the
assessment of management outcomes
Continuous - Recognition of the need to incorporate ergonomic standards in making
improvement improvements advised by continuous improvement guidelines
- The promotion of improvement measures that account for ergonomic
improvement criteria, affect the resulting safety culture and rely on
premises that underpin safety culture
4 The Impact of Ergonomic Requirements of Working

Conditions on the Force of Systemic Safety Management
The effectiveness of systemic management can be described in terms of effectiveness in

creating worker-friendly working conditions. If that the purpose of systemic OHS
management is to create a risk management framework and support OHS improve-
ments [6], then the system helps organizations to meet their obligations. In the context
of ergonomic requirements, due note should be taken of the role played by factors
associated with workers and their working environments.
Worker-friendly working conditions should be viewed as essential for worker
performance and specifically for the effective completion of occupational tasks [1, 19].
Against the background of working conditions and the context of ergonomic criteria,
working conditions come across as essential for assessing workers’ ability to perform,
which constitutes a determining factor for their effectiveness.
The above can be seen as crucial for an organization’s success. Such success
depends on the choices made by the management as well as the commitment and
involvement of workers across all levels and positions in the organization.
Compliance with systemic requirements that include ergonomic standards is helpful
in:
– Gaining the ability to improve the effectiveness of systemic management,
– Identifying improvement measures that account for the human aspects of
management,
– Eliminating disruptions to manufacturing processes caused by working discomfort,
– Benefiting workers as a result of their improved ability to function in the working
environment.
The recognition of ergonomic requirements should be seen as critical for the proper
performance of workers and their efficient completion of occupational tasks. The
potential benefits of accounting for ergonomic requirements include [19, 20]:
– More efficient performance of work, including quicker completion of tasks,
– More efficient performance of work,
– Reductions in loads that adversely affect workers,
– Reductions in the biological cost of work.
Working environment specifications have direct impact on occupational task
completion and specifically on workers’ ability to perform work [18, 20, 21]. To
improve the working environment, a range of systemic measures can be taken [18].
Some of the key categories of requirements whose fulfillment depends crucially on the
satisfaction of ergonomic standards, include [22]:
– Requirements pertaining to human operators and specifically to education, skills,
experience, the culture of dealing with technology, the motivation to perform work,
and the ability to bear physical and psychological loads,
– Requirements pertaining to workstation fit-outs: devices, machinery and equipment,
supplementary equipment, organizational equipment, and working spaces/company
premises,
– Requirements pertaining to the working environment: worker protection from
adverse working environment factors and, in particular, from their impact on worker
health and safety,
– Requirements pertaining to work organization: support in the form of documents,
tools and materials/supplies, workflow planning, as well as loads resulting from the
nature of work and its organization.
The application of ergonomic standards in the process of OHS management helps
highlight the need for organizational and technical measures, which includes the so-
called soft measures aimed at the improvement of working conditions [23, 24] and the
creation of a working environment.
Sample ways to adopt ergonomic standards with a view to developing a working
environment and their impact on worker’s capacity to perform work are presented in
Table 2 against the background of workplace and workstation lighting, which is crucial
for work efficiency and accuracy.
192 A. Górny
The ergonomic requirements to be recognized in assessing working conditions

should be seen as indicative of organizations’ ability to complete processes and, by the
same token, of the ability of their workers to complete occupational tasks, both of
which affect business performance. The ergonomic requirements to be accounted for in
an occupational safety management system should be viewed as critical for a com-
pany’s overall success.
The ergonomic requirements considered in assessing the working environment
reveal a certain level of adverse impact on the workers. This applies in particular to
factors classified as strenuous [1, 10, 25].
Table 2. Examples of potential ergonomic non-conformities and measures needed to ensure

friendly workstation lighting.
Reason for non- Issue/non-conformity and reasonable improvement
conformity
Natural light - No or insufficient natural light undermining working comfort
- Natural light should be viewed as a vital for the overall lighting of
workstations
Artificial - Inadequate artificial lighting and specifically insufficient or
(supplementary) excessive light at a workstation will make it difficult (if not
lighting impossible) to perform work effectively
- This issue is particularly burning where natural light standards are
not met
- In designing light fixture spacing and types, one should consider
workplace requirements, job characteristics, lighting specifications
and the individual attributes of workers
Inadequate light source - An inadequate light source will result in poorly lit workstations
and working spaces compromising work accuracy and precision
- In selecting a light source, account should be taken of
requirements regarding the level of accuracy and precision to be
ensured in the process of manufacturing
Shift work - Work without natural light creates significant loads, particularly
if no supplementary artificial lighting is designed and installed
- In designing a shift system and the workstations to which shift
workers will be assigned, due account should be taken of
ergonomic lighting standards the affect the working comfort of
workers
5 Summary
Industrial organizations constitute a clear case of strong correlations between work

efficiency and working conditions. Given that quality can be defined in terms of how
well an organization satisfies customer expectations, the ergonomic conformity of a
working environment can be assumed to be crucial for the quality of the working
environment.
If safety requirements are examined in relation to systemic occupational health and

safety management, they must incorporate all aspects of critical importance for
ensuring a proper working environment for employees. These include ergonomic
standards, which constitute a vital part of management and a crucial factor for the
establishment of worker-friendly working conditions.
The incorporation of ergonomic standards into a management system should be
recognized as crucial for the effective operation of a business organization. This is
especially true for standards that significantly affect systemic management outcomes
contributing to the elimination of non-conformities. The elimination of non-
conformities is in fact prescribed by the systemic requirements adopted to ensure
working environment improvements. By rectifying potential non-conformities, orga-
nizations help to improve the health and well-being of their workers, all the while
incentivizing them psychologically, which has the effect of boosting their performance.
Such efforts should be recognized as underpinning the creation of conditions that allow
workers to operate properly in the working environment, regardless of whether such
conditions are mandated by law.
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The Improvement of Women Professional
Entrepreneurial Attitude in a Context
of Social Expectations
Paulina Siemieniak(&)
Faculty of Managerial Engineering, Poznan University of Technology,

Strzelecka 11, 60-965 Poznan, Poland
paulina.siemieniak@put.poznan.pl
Abstract. The article compiles the data of statistical offices and institutions
monitoring entrepreneurship in the world, especially in Europe with results of
original surveys conducted among potential female entrepreneurs in the last five
years. This allows to determine what potential for use lies in the female
entrepreneurship. Based on this insight social programs can be created to deal
with current problems of Poland, such as aging society or poverty.
Keywords: Female entrepreneurship Demand on the labor market

Shaping entrepreneurial attitudes
1 Introduction
The improvement of social well-being depends on the ability to use the potential of
every person capable of working. Increasing the participation of women in the labor
force and raising their employment rate is the key importance for the economic
development. The GDP losses per capita resulting from the gender inequalities in the
labor market were estimated at up to 10% in Europe [1]. By stimulating economic
growth, the social and public finance risks associated with the aging of the population
can be reduced. Further efforts are also needed to eliminate the differences in the
treatment of women and men and to strive to create a model in which both men and
women can be earners and careers. The promotion of greater gender equality in the
labor market is achieved through a combination of legislation, policy guidelines and
financial support. One of the factors enabling the reduction of gender inequality is to
indicate entrepreneurship as an opportunity for every woman.
2 The Concept of Entrepreneurship
In the literature, the numerous definitions of entrepreneurship are formulated, which

show it as a broad and multidimensional phenomenon. Undoubtedly, this is an inter-
disciplinary issue. Many aspects in which it can be captured is reflected in the multi-
plicity of scientific views on the subject. Author of one of the first definitions J. B. Say,
states that an entrepreneur is someone who “transfers economic resources from a lower

https://doi.org/10.1007/978-3-030-20145-6_19
196 P. Siemieniak
area to an area of higher productivity and higher yield” [2]. Entrepreneurship is at the
heart of the creation of the enterprise and its development. It is inseparably connected
with the pursuit of profit. Entrepreneurship consists in starting a business and taking
related risks in order to obtain certain benefits, mainly of a material nature. One of the
first to deal with the phenomenon of entrepreneurship was R. Cantillon, who called the
ability to see opportunities and to take advantage of the opportunity created by the
market in order to achieve a profit that motivates for further effective action. The
essence of entrepreneurship is also sought on the basis of psychology, which captures
entrepreneurship as a feature of the human personality. It is recognized as the resultant
of innate properties such as temperament, intelligence and also traits acquired in
ontogenetic development, such as character, motivation, attitudes [3]. Entrepreneurship
as a psychological category is identified with the characteristics of the individual that
enable it to effectively implement its goals. These include, inter alia, initiative and
vigor, resourcefulness, ingenuity and a great need for achievement. Entrepreneurship
understood in this way is called a personal entrepreneur and is a permanent element of
personality. It is the result of the process of upbringing, learning and innate predis-
position [4]. Entrepreneurship as a trait (or a set of mental traits) facilitates taking
initiative in the field of entrepreneurial activities (starting a business activity), but it is
not a sufficient factor to make them appear. In order for entrepreneurial activities to
appear, there must be an intention to become an entrepreneur. The occurrence of
willingness and initiative in starting own business is related to the entity’s experience in
the area of entrepreneurship, including those provided by school [5].
The presented article adopted a narrow definition of entrepreneurship. It is
understood not as a trait, but as an individual’s activity, an initiative that involves the
establishment and conduct of a business by a natural person. Entrepreneurship in the
sense that have been adopted is related to self-employment, micro, small and medium-
sized enterprises1.
3 Outline of the Economic Situation in Poland and Europe
The results of economic research indicate considerable differences existing in the share
of poverty within the EU. A similar trend can be observed also across the world. There
are 39.1 million people in the EU living in households with very low work intensity in
2016 [6]. According to Eurostat: 9.6% of employed people in the EU were at risk of
income poverty in 2016 [6].
There are significant differences in the EU in severe material deprivation, which
hardly occurs in some Member States, and at the same time affect around one-third of
the population in other Member States. Poverty of people affected by poverty varies
significantly between Member States, between 9.7% and 25.3%. In general, the share
of EU citizens living in income poverty (17.3% in 2016) is relatively low compared to
1
In Poland, the economic activity carried out by natural persons constitutes the vast majority of all
enterprises and clearly dominates the SME sector (over 90%).
The Improvement of Women Professional Entrepreneurial Attitude 197
other major economies in the world. In most OECD countries outside the EU, the value
was approximately between 20% and 25% [7].
The most at risk of poverty or social exclusion in EU are unemployed people. There
are 48.6% at risk of income poverty in 2016. However, poverty can also affect
employed people. The extent to which someone is poverty-stricken workers depends
largely on the conditions of employment. Employees working under a temporary
contract were about three times more likely to live in poverty or social exclusion than
people with a fixed position (risk 16.2% instead of 5.8%) in 2016 [6].
Rankings based on available selected data show that although Poland is doing well
in some measures of well-being, the average in terms of income and wealth, jobs and
earnings is below [8].
From OECD data it appears that in Poland, the average household net-adjusted
disposable income per capita is USD 18 906. This is much lower than the OECD
average of USD 30 563 a year. Moreover, there is an appreciable gap between the
richest and poorest: the top 20% of the population earn close to five times as much as
the bottom 20%. The employment analysis shows that around 65% of people aged 15–
64 have paid work in Poland [8].
This is below the OECD average employment rate of 67%. About 71% of men and
58% of women perform paid work. Almost 7% of employees work in Poland for a long
time, and this is less than an average of OECD 13%. 10% of men work very long
compared to only 2% of women [7]. However, fewer hours of paid work for women do
not mean more free time, and the number of hours spent on leisure is more or less the
same for men and women in all 20 OECD countries surveyed. The right amount and
quality of spending free time is very important for well-being, it can bring physical and
mental benefits [9].
4 Female Entrepreneurship in the Context of the Economic

Situation in Poland and Europe
The development of entrepreneurship is now a very desirable phenomenon, so it is

pursued at every level. It is to contribute to the development and improvement of the
economic situation. The following factors determine entrepreneurship in individual
countries [10]:
• Macroeconomic categories:
– unemployment
– per capital income
• Institutional factors:
– government policy in the field of supporting entrepreneurship
– the tax system
– administrative procedures
– access to financing
– education system
198 P. Siemieniak
• Cultural and social factors:

– social attitudes towards entrepreneurship
– the image of the entrepreneur in society
– attitude to women entrepreneurs
– the level of innovation and creativity in society
The above-mentioned factors can both contribute positively to the development of
entrepreneurship in a positive and negative way. In addition, these dimensions inter-
penetrate. The influence of cultural factors that affect both education and the taking up
of economic activity by women is particularly significant.
As presented, unemployment is one of the factors determining entrepreneur-
ship. Unemployment as a percentage of labour force in Poland (6,2), is lower than EU
(8,5). Among the European Union countries, the highest rate reached Greece: 23.5 and
Spain: 19.6 [7].
The results concerning Poland (presented in the Table 1) are referred both to the
results for selected 6 countries as well as for the total of 28 European Union countries
(EU28). The European countries that were analyzed were characterized by the highest
rates of professional activity of women and a high position in the Global Gender Gap
Index 2015 ranking prepared by the World Economic Forum. Only Slovenia is outside
the first 20 countries - in 145th place, and its selection results from geographical
relations with Poland, i.e. belonging to the region of Central-Eastern Europe [11].
Table 1. Share of employed women among the total number of employees (%)
Country:/Year: 2010 2013 2016
Finland 48,6 48,7 48,3
Germany 46,2 46,5 46,5
Iceland 47,8 47,8 46,9
Norway 47,4 47,3 47,4
Poland 44,6 44,5 44,8
Slovenia 45,8 45,4 46,3
Sweden 47,1 47,6 47,8
UE-28 45,4 45,8 45,9
Europe 45,3 45,9 46,0
Source: own study based on data
from the OECD Labor Force
Statistics 2017
Skills and education determine finding a job, both taking up employment as well as
working in your own enterprise. In the Better Life Index Poland ranks above the
average in education. Especially women in Poland are characterized by a good
education. 92% women and 91% of men have successfully completed high-school.
Among polish people aged 25–64, 91%have completed upper secondary education [8].
This is a result higher than the OECD average of 74% and the highest in the OECD [7].
Also in the study of the quality of the education system, the average Polish student
scored higher than the OECD average. In Poland, girls were above the tested skills than
boys.
Across the OECD employment levels are highest in Iceland (86%) and Switzerland
(80%) and lowest in Turkey (51%), Greece (52%), Italy (57%) and Spain (60%).
People with a higher level of education often have a job. In the entire OECD, about
82% of people with at least tertiary education have paid work, compared with an
estimated 57% of people without upper secondary education.
Knowledge and education are an important factor shaping entrepreneurship. It is
also worth noting that the fact of having a higher education is not enough to encourage
the establishment of companies. Due to the good education, graduates can find it easier
to find wage labor [4], especially in large cities and at low unemployment levels.
Starting a business activity is related rather to the profile of education and the demand
of the labor market [10].
According to the GEM report, all over the world men more often engage in
entrepreneurial activities than women. Only in three economies women declare equal
or higher entrepreneurship rates than men: Ecuador, Vietnam and Brazil. A comparison
of GEM survey results from 2016 and 2017 shows that the ratio of women entrepre-
neurs in comparison with male entrepreneurship increased by 6% [6]. Reducing gender
inequality in business is a priority for decision-makers in all economies.
Although the wage gap has been decreasing for several years, women still expe-
rience significant unfavorable differences in the level of remuneration in the same
positions - the pay gap in Poland, reported by the Polish government, is about 7% [12].
Studies analyzing the gender pay gap show that Poland is characterized by one of the
lowest wage gaps in the European Union.
5 Women’s Professional Entrepreneurship in the Context

of the Need for Flexible Organization of Working Time
The OECD reports that on average 59% of women had jobs, compared with 75% of
men [7]. The employment rate of women is relatively high in Canada, Iceland and the
Nordic countries. This can be explained by structural changes in the economy and
society, but also by political factors, such as providing childcare that made it easier for
mothers with young children to return to work.
In general women more often limit participation in the labor market because of
duties related to childcare. According to Eurostat research one third (31.4%) of women
in employment in the EU worked on a part-time basis in 2016. This is a much higher
percentage than the corresponding share for men, amounting to 8.2% [1].
200 P. Siemieniak
Table 2. Female share of part-time employment (%)

Country:/Year 2010 2013 2016
Finland 62,2 62,2 60,8
Germany 80,6 78,6 78,1
Iceland 67,6 67,5 65,1
Norway 70,3 69,4 67,1
Poland 66,9 67,9 68,2
Slovenia 58,5 59,1 64,8
Sweden 63,0 61,2 64,8
UE-28 75,9 74,2 73,8
Europe – – –
Source: own study based on data
from the OECD Labor Force
Statistics 2017
International comparison shows, that in Poland female share of part-time

employment is below the European average (Poland 68,2, European Union: 73,8)
(Table 2) [7]. Moreover: female part-time employment as a percentage of female
employment: Poland: 9, European Union: 27,2. Male part-time employment as a
percentage of male employment: Poland 3,4, European Union: 8,3.
According to Eurostat, irrespective of whether people are employed full-time or
part-time, this also affects the risk of poverty or social exclusion despite employment.
As indicated, at 15.8%, part-time employees were twice as likely to be at greater risk of
poverty or social exclusion than full-time workers whose risk was 7.8% in 2016 [6].
The availability of flexible working arrangements—such as telework and flextime
—and of reduced working hours (part-time work) is necessary for people with caring
responsibilities, particularly women to participate in the labour market. More than half
of inactive mothers would prefer to work part-time [1]. Moreover, the availability of
part-time work can lead to gender wage gaps and in the longer run reinforce the gender
pension gap. In addition, women often take on part-time work due to high out-of-
pocket costs for childcare. Long-term care services may result in women being even
more dissuasive to work. This is particularly the case in Ireland, Poland and the
Netherlands, where costs related to childcare constitute over 20% of family income for
a couple with median earnings [1].
Therefore, what women are trying to get by working part-time should be replaced
with a more profitable activity. The alternative may be professional entrepreneurship,
that is self-employment, running a business by a woman. The owner herself decides
how long she works, adjusts working hours to parental responsibilities. As the research
shows, the need for flexible working time is one of the main needs of women - business
owners and potential female entrepreneurs [4].
6 Women’s Entrepreneurship - Economic Potential
From an economic perspective, women are a resource with the same productivity as
men. In combination with the knowledge and skills they have, they become a valuable
element of human capital. Providing women with professional development opportu-
nities (including in the field of entrepreneurship) will allow full and effective use of
available talent resources. Women’s occupational activity also translates into an
increase in income and, hence, in the well-being of households. The increase in the
professional activity of women is additionally gaining importance in the context of the
forecasted demographic changes, including in particular the decreasing number of
people of working age in Europe, and especially in Poland, and the expected increase in
average life expectancy [11].
International comparison shows that in Poland, self-employment as a percentage of
employment is higher than in the EU; (Poland 20.7, European Union 15.8) [7]. The
same applies in the case female self-employment as a percentage of female employment
(Poland 16,8, European Union 11,8) (see Table 3). As a comparison, male self-
employment as a percentage of male employment is in Poland 23,9, in European Union
19,2.
Europe has the lowest share of early-stage activity (6.1%). (For comparison, the
highest average female TEA rates is in Latin America, the Caribbean 16.7% and North
America 12.8%) [13]. The so-called TEA, or “Total early-stage entrepreneurial
activity”, is the percentage of adults aged 18–64 who start their business activity
(nascent entrepreneur) or started their business 42 months before the start of the study
(owner-manager of the new company).
Table 3. Percentage of self-employed women among all employed women (%)

Country:/Year: 2010 2013 2016
Finland 9,0 8,8 9,4
Germany 8,4 8,1 7,6
Iceland – – –
Norway – 4,4 –
Poland 20,1 18,4 16,8
Slovenia 14,0 13,6 10,7
Sweden 6,4 6,2 6,1
UE-28 12,6 12,3 11,8
Europe 11,7 11,4 11,2
Source: own study based on data from
the OECD Labor Force Statistics
2017
202 P. Siemieniak
The ratio of the participation of men and women in the early phase of
entrepreneurship is very diverse in the entire sample of GEM countries, reflecting
differences in culture and customs regarding the participation of women in the econ-
omy. Countries with the highest female potential TEA is Poland at 90.7%, Malaysia at
90.2%, and the US at 88%). Both in 2016 and in 2017, women were more likely to
establish companies out of necessity, compared to men, in all regions except North
America in 2017. The North American region is the only region where women are
increasingly taking entrepreneurial activity out of opportunities, compared to men (the
ratio of women to men is 1.02). In the European region, the share of companies
established by women from necessity is 24.0% of TEA, while companies assumed by
men 17.2% of TEA. In Poland, the situation does not reflect this trend. Only 8.3% of
TEA females assume the company out of necessity, which is close to the number of
9.5% men. For both women and men in Poland, about 90% of TEA is motivated by the
opportunity [13]. Thus, Poland has significant entrepreneurial potential.
7 Shaping Entrepreneurial Attitudes Among Young Women.

The Results of Own Research
The exploitation of women’s occupational potential is a source of economic well-being.

To make this possible, it is necessary to shape the attitudes of young women, which
should be preceded by the recognition of their initiative in the field of entrepreneur-
ship. The research presented below has been conducted for the last five years. Students
from universities located in Wielkopolska - the second best economically developed
region in Poland - participate in them. One of the objectives was to define the entre-
preneurial attitudes of women as potential and well-aimed entrepreneurs. Determina-
tion of the level of entrepreneurship, including the founding intentions at the education
stage, enables the development of this area. The first in the presented research was
conducted in 2013/2014 and only young women studying Management Engineering at
the Technical University took part in them. The group was created on the basis of a
quota selection, and the research tool was an original questionnaire. The aim of the
research was to determine the support women need to run their own businesses [4].
Subsequent research was carried out at the beginning of 2017. A quantitative method
was used in them, and the research tool was an original auditorium survey. The purpose
of the study was, inter alia, identification of differences in entrepreneurial attitudes
based on gender, preferred methods of financing and possibilities of using the Internet
in the planned or conducted business activity, and their research results were presented
in scientific articles [14]. The third group presented in this article participated in
research aimed at recognizing the work-life balance in the context of female entre-
preneurs’ work [9]. An original questionnaire was also used. Simplified characteristics
of respondents from all groups are presented in the following Table 4.
Table 4. Description of the tested sample. List of own research results.

1 group 2 group 3 group
The size of 174 166 160
the group of
respondents
Sex of the Women Women and men Women
subjects
Age: 19–25 100% of 89% of participants 67% of participants
years old participants
Field of Management Technical and IT Finance and accounting,
study engineering education, Law, Management Engineering,
Logistics, Tourism, Security Engineering,
Economics Management, Health Security,
Business Psychology
Source: own study.
The results of the research with the participation of the first group show that among
the respondents there was a positive attitude towards starting enterprises (almost half of
the respondents) (Table 5). This is understandable because the students of the eco-
nomic faculty department were surveyed. Negative attitude towards professional
entrepreneurship was characteristic of only about 15% of female students. The group 2
study was of comparative nature and women and men participated in it. The results
show that in the surveyed group men and women just as often wanted to set up their
own company (in each case about 33%). In addition, some of them have already started
a business (twice as often they were men). The difference was that men were less likely
to reply: “I do not know if I want to start a business. “Answered was 46.6% of the men
surveyed, while among women it was 57.2%.
Table 5. Attitudes of young women towards entrepreneurship. List of own research results.
Entrepreneurial intentions: 1 group 2 group 3 group
I want to start a business 48,3% 33% 42,5%
I don’t want to start a business 14,9% 4,5% –
I don’t know, if I want to start a business 36,8% 57,2% 47,5%
I already run my own business – 5,3% 10%
Source: own study.
In addition, in the studies of 2013/2014 (1 group), female students were asked what
they would most need to effectively run their own business. Over half of the respon-
dents indicate the need for financial support in running a business. The next place in
terms of the frequency of indications is occupied by comprehensive economic and legal
service, consultancy in the field of problems related to running a business and flexible
working hours. Such needs related to potential self-employment are indicated by over
one third of the students surveyed. Another question reveals that the most popular
204 P. Siemieniak
potential motive for starting a business is the desire to earn a decent income. The next
place is the willingness to use the acquired knowledge and the need for independence.
In the survey conducted in 2017 (2nd group), respondents were asked to choose the
three most important factors in their opinion, which limit the intention to set up or run a
business. Women and men are slightly different in terms of responses. The three most
frequently mentioned responses by respondents are successively: difficulties in
accessing financing sources, tax system and lack of a good business idea. Men indicate
in turn: the tax system, difficulties in accessing financing sources, lack of knowledge
about running a business. The surveyed women slightly more often than men pointed to
the lack of a business idea. They also saw greater difficulties in accessing financing
sources.
In the third of the presented studies (with the participation of the 3rd group),
respondents were asked to assess, on a scale of 1–5, the factors enabling effective
reconciliation of professional requirements with personal life. The highest average
grade was answered by flexible working time, then: working at home and taking over
some household/caring responsibilities. At the same time, according to the results of
the survey, the majority of respondents (62.5%) considered that setting up their own
company could enable a more efficient reconciliation of professional duties with home
and/or parental responsibilities. The comparison of results in the three groups studied
allows for general conclusions: young Polish women (of the Wielkopolska region)
exhibit significant entrepreneurial potential. This means that they often want to set up
their own business. This is particularly evident in the group of students in management
engineering. This could be an argument for the importance of knowledge in the process
of shaping entrepreneurial attitudes. Promotion of entrepreneurship as a career path
available to women should take place with the participation of social policy makers.
The conducted research shows that the emphasis should be placed on showing
entrepreneurship as a way of making a decent income, with easy access to financing
and the possibility of flexible reconciliation of family and professional obligations.
8 Conclusion
Women constitute half of the world’s population, but their contribution to the increase
in Gross Domestic Product and the construction of well-being remains at a decidedly
lower level than the potential. Despite reducing the gap between the participation of
women and men in the labor market, still the share of working women is relatively
small. Forecasts show that the use of resources inherent in every capable unit is an
antidote to many social problems, such as poverty, aging of the population, lack of
government finance for retirement benefits. And these are the problems experienced by
the inhabitants of Europe, also in Poland. They are one of the most important economic
challenges of the coming decades.
The work of women drives the economy and increases the wealth of society. But
the professional activity of women must make it possible to play a parental role.
Entrepreneurship is characterized by greater flexibility in the organization of working
time and thus enables reconciliation of work-family conflicts. This is important because
part-time employment is not always enough. Often, the possibility of independent

organization of working time allows women to earn more profit.
This article is an attempt to justify female vocational enterprise. For this purpose,
the theoretical and practical aspects of the phenomenon of female entrepreneurship
were presented, described both in economic reports and literature studies, as well as the
results of own research. This should be a good starting point to formulate recom-
mendations for economic and social authorities in the field of policies to stimulate and
develop female entrepreneurship.
References
1. Women in the Labour Market. European Semester Factsheet. http://www.ec.europa.eu
2. Drucker, P.: Innowacja i przedsiębiorczość. Praktyka i zasady. PWE, Warsaw (1992)
3. Terelak, J.F.: Psychologia menedzera. Difin, Warsaw (1999)
4. Siemieniak, P., Łuczka, T.: Przedsiębiorczość kobiet. Wybrane aspect ekonomiczne i
psychokulturowe. Politechnika Poznańska Publisher, Poznań (2016)
5. Athayde, R.: Measuring enterprise potential in young people. Entrepreneurship. Theor. and
Pract. 33(2), 481–500 (2009)
6. Sustainable Development in the European Union. Monitoring Report on Progress Towards
the Sdgs in an EU Context (2018). https://ec.europa.eu/eurostat/document
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oecd_lfs-2017-en
8. http://www.oecdbetterlifeindex.org/topics/jobs/
9. Siemieniak, P., Rembiasz, M.: Work-life balance w życiu kobiet- obecnych I potencjalnych
przedsiębiorcow. In: Zeszyty Naukowe Politechniki Poznanskiej, vol. 76, pp. 229–242,
Politechnika Poznanska Publisher, Poznan (2018)
10. Zbierowski, P., et al.: Raport z badania GEM- Polska. PIB Publisher, Warsaw (2011)
11. Praca I przedsiebiorczosc kobiet, Potencjal do wykorzystania w Polsce. http://publicre-
lations.pl/praca-i-przedsiebiorczosc-kobiet
12. http://www.gov.pl
13. GEM, 2017/2018 Global Report. https://www.gemconsortium.org/report
14. Siemieniak, P., Rembiasz, M.: Determinanty przedsiebiorczosci kobiet - wybrane aspekty
teoretyczne i empiryczne. In: przedsiebiorczosc i Zarzadzanie, vol. 18, pp. 349–361 (2017)
Monitoring Personnel Presence
and Displacement in Production
Facilities Using RFID Technology
Robert Waszkowski(&), Tadeusz Nowicki, and Andrzej Walczak
Faculty of Cybernetics, Military University of Technology,

Urbanowicza 2, 00-908 Warsaw, Poland
{Robert.Waszkowski,Tadeusz.Nowicki,
Andrzej.Walczak}@wat.edu.pl
Abstract. The article describes a solution for monitoring the presence and
movement of workers between production halls in the factory. The physical
structure of the monitoring system components based on RFID antennas and
chips embedded in every clothing element of an employee is presented. The
hardware and software architecture of the solution is also presented and
described in the article. Particular attention was paid to the algorithmic issues
related to the detection of ambiguities resulting from human-machine cooper-
ation. A number of problems resulting from different behavior of employees and
their interpretation on the basis of readings for individual elements of their work
attire have been solved.
Keywords: Human-computer interaction Monitoring Algorithms

Systems design RFID Aurea BPM
1 Introduction
This article describes a solution for monitoring the presence and movement of workers
between production halls in the factory.
The article presents the physical structure of the monitoring system components
based on RFID antennas and chips embedded in every clothing element of an
employee. The hardware and software architecture of the solution is also presented and
described in the article.
Software modules based on business processes modeled in BPMN notation as well
as implemented in a system allowing for their automation were also presented.
Particular attention was paid to the algorithmic issues related to the detection of
ambiguities resulting from human-machine cooperation. A number of problems
resulting from different behavior of employees and their interpretation on the basis of
readings for individual elements of their work attire have been solved.
The developed methods for reliability testing of system structure elements and
software testing methodologies are also presented. These methods are used to construct
simulation software, which in an automated way examines the reliability of the
described solution.

https://doi.org/10.1007/978-3-030-20145-6_20
Monitoring Personnel Presence and Displacement in Production Facilities 207
The described solution has been implemented and proven in practice as a system
for monitoring the movement and presence of employees in the halls of a company that
designs, produces and rents workwear.
2 Technical Architecture of the Monitoring System
The technical architecture of the monitoring system consists of both hardware and
software elements. The hardware elements are: RFID antennas, assembly items, net-
work infrastructure, and the monitoring system server (the Middleware) [1–6]. The
software elements are: operating system, database management system, application
server, RFID antenna interfaces, and the monitoring system [7–9] (Fig. 1.).
Fig. 1. Monitoring system technical architecture
Sample configuration of monitored facilities, rooms and RFID readers is shown in

Fig. 2.
Fig. 2 Sample configuration of monitored facilities, rooms and RFID readers

208 R. Waszkowski et al.
3 Reliability Testing of System Structure Elements
Reliability model for personnel presence and displacement monitoring system in the
environment located in many buildings and many rooms made up of many different
elements, including RFID antennas, interfaces, database and application servers, as
well as more than hundred RFID tags, was developed [10–13]. Each component was
classified in terms of the reliability. For most of them individual reliability models were
developed.
The level of reliability of the employee monitoring system is dependent on the
efficiency of the system’s hardware components, including a set of RFID antennas, and
the reliability of system software. In the process of software reliability investigation,
the software modular structure is considered. Indicator of system software reliability
will be a function of this structure and values of the reliability of software components.
Reliability states of individual components of the system were defined (hardware
and software) and the same states for the whole system. The stochastic process asso-
ciated with transitions between different reliability states was defined. It determines the
characteristics of reliability for the system [14, 16, 17]. These characteristics are the
basis to develop the reliability ensuring plan required for modern technical systems. As
parts of reliability ensuring plan the following elements were developed:
• measurement reliability of the system and its separate elements,
• measure software reliability and its constituent components,
• levels of limit values for the reliability of the system and its separate elements,
• list of researches necessary to investigate hardware, procedures and software
components,
• methodology for testing various hardware components of the system,
• methodology for testing individual components of system software,
• methodology for the study of individual procedures,
• the form of the final report of reliability tests.
It was decided to use an innovative method to test the reliability and efficiency of
the system. The simulator imitating workers displacement events was created [15].
The reliability of system elements is examined on the basis of simulation software
that have been developed in order to test all the system structure elements. Particular
attention was paid on methodologies for software testing. The constructed simulation
software is able to act like real RFID antennas allowing us to simulate in a short period
of time weeks and months of system work.
The simulation software architecture is presented in Fig. 3.
Fig. 3. Simulation software architecture
4 Business Process Management Software
In order to access the monitored zone an employee or their manager has to request for
permissions. The request is then processed by the company authorities and as the result
the access is granted to the employee. Similarly, all the requests for permission change
are processed. Additionally, all these procedures may evolve in time.
The best solution in that case was to use a Business Process Management System
(BPMS) for process design, develop and execution.
The use of Aurea BPM system allows both process design and process execution in
a single environment. Several business processes were prepared and in the area of
permission requests and permission management. Thank to the use of system for
process automation all necessary data entry modules and workflows were prepares and
implemented [18, 19].
Figure 4 shows a sample data entry form that corresponds with one of the process
tasks.
Fig. 4. Data entry form for process task

5 Detection and Interpretation of Ambiguities
RFID antennas act as sensors that detect any movement of employees who wear their
workwear with RFID tags embedded. When a worker approaches a specially designed
enter/exit zone their tag is being read by antennas and the information about his or her
presence in the zone is stored in the database.
It is difficult to determine if a worker is entering or exiting the facility. That’s why a
dual-antenna sensor has to be used. If we know individual time-stamps of worker’s
detection by the first and the second antenna, we are able to determine his or her
direction of movement and even the speed. It is then obvious if the employee is
entering or exiting the monitoring area.
Every worker has several peaces of clothings. That means that he or she is equipped
with a number of RFID tags that could be read by sensors. The situation is clear if we
detect the whole set of worker’s tags. We can accomplish that worker just crossed the
exit zone wearing all their clothes. Much more difficult situation might take place if the
worker moves by RFID antennas and we do not detect all of his tags. It means that he
or she could leave some piece of clothings inside. Of course, we are not interested in
clothings detection but in workers detection. That is why several algorithms had to be
formulated in order to ensure the system that the given configuration of RFID tags
detected by sensors means detection of the particular worker moving in or out the
monitored facility.
Test were conducted in a clothings rental company warehouse. Figure 5 shows
simulated distribution of working time for clothings rental company warehouse. Fig-
ure 6 presents simulated distribution of non-effective working time for the same
company and department.
Fig. 5. Working time distribution for clothings rental company warehouse

NON-EFFECTIVE WORKING
TIME DISTRIBUTION
Cloakroom
Canteen
Toilet
Smoking
area
Fig. 6. Non-effective working time distribution for rental company warehouse
Effective working time was also simulated for individual employees in the com-
pany. The results are presented in Fig. 7.
Effec ve working me
8
Average working hours per day
7
6
5
4
3
2
1
0
A B C D E F G H I J K L M N O P Q R S
Employee
Fig. 7. Effective working time for individual employees
6 Software Tests
All the software prepared for employee displacement monitoring was tested at several
stages to eliminate potential errors.
First, the black-box testing method was used as a software testing method in which
the internal structure, design and implementation of items being tested were not known
to the tester. These kinds of tests covered both functional and non-functional test cases.
Test design techniques include Equivalence partitioning, Boundary Value Analysis,
Cause-Effect Graphing were used.
At the same time the white-box testing method was used as a testing method in
which the internal structure, design and implementation of the item being tested were
known to the tester. In this case Control flow testing, Data flow testing, Branch testing,
and Path testing technics were used.
Some elements of interfaces required gray-box testing method as a combination of
Black Box Testing method and White Box Testing method.
All module testing was conducted by developers ad hoc, mainly with use of agile
testing methods, as all the programmer’s tasks were executed with correspondence to
the agile software development.
7 Conclusions
In this paper, we have presented the concept of the implementation of a computer

system using RFID technology for employee displacement monitoring and
management.
As the result, the prototype of the monitoring system was developed and all nec-
essary antennas, interfaces, servers as well as software modules were prepared to
provide workers displacement monitoring to different companies whose employees
wear RFID tagged clothings.
The results of the project could be used in many companies in various industries.
This paper describes the system design for monitoring personnel presence and dis-
placement. Tracking, visualizing and analyzing of employee displacement are the most
important features in terms of managing a factory. The methods described above have
been used in the project partially supported by EU.
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3. Zhang, Y., Yang, L.T., Chen, J.: RFID and Sensor Networks Architectures, Protocols,
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Evaluation, Optimization
and Job Design
Effectiveness in Prosthetic Adaptation
and Users’ Satisfaction: Comparison Between
Different Technologies
Maria Patrizia Orlando1, Claudia Giliberti2, Fabio Lo Castro3,

Raffaele Mariconte2, and Lucia Longo1(&)
1
Dipartimento Organi di Senso, Università Sapienza Rome, Rome, Italy
{mariapatrizia.orlando,lucia.longo}@uniroma1.it
2
Dipartimento Innovazioni Tecnologiche e Sicurezza degli Impianti,
Prodotti ed Insediamenti Antropici, INAIL, Rome, Italy
{c.giliberti,r.mariconte}@inail.it
3
CNR-INM, Sezione di Acustica e Sensoristica O.M. Corbino, Rome, Italy
fabio.locastro@cnr.it
Abstract. The effectiveness of a hearing aid (HA) is commonly assessed by a

questionnaire that provide information on the benefits/disadvantages of the use
of the HA in real life situations. This work wants to analyze if acoustic benefit
and satisfaction levels depend by an HA equipped with different technologies
(Basic technology HA, Medium technology HA, Premium technology HA
trough the International Outcome Inventory for Hearing Aids (IOI-HA) ques-
tionnaire administered to 60 patients and the Hearing Handicap Inventory
(HHI) questionnaire administered to 14 patients. The results show that regard-
less of technology, persistent problems remain such as perception in noisy
environments. A further effort is required by the technicians in the evaluation of
the patient as a whole, from the identification of the HA that ergonomically
better suits the needs of each patient until the adaptation in complex environ-
ments, for the minimization of the perception of disability.
Keywords: Hearing aid Hearing loss Effectiveness Benefit
1 Introduction
Hearing loss is the most common sensory deficit related to aging and to occupational
and or voluntary exposure to loud noise [1], increasing rapidly among adults in
working age, at age 50 years and among elderly adults. Around 466 million people
worldwide suffer from this disabling sensory deficit and it is estimated that over 900
million people will have disabling hearing loss by 2050 [2, 3], providing cost for their
effective auditory rehabilitation [4]. In addition, the number of adults with hearing loss
who continue to work later in life is growing [5], presenting a problem of safety and
health of workers.
Hearing loss could cause negative impact on work and family life; in working
environment, hearing loss can compromise the effective realization of tasks and the
safety of workers and others, when it is accompanied by difficulties in perceiving

https://doi.org/10.1007/978-3-030-20145-6_21
218 M. P. Orlando et al.
audible signals, including speech, in noisy environments, and the ability to identify
where sounds are coming from. This is particularly hazardous for some specific job
performance (for example law enforcement, agriculture, construction).
An increased risk of accident can then occur because an alarm or danger signal was
not heard or recognized, or no attention was paid to it, or it was not known where it was
coming from [6, 7].
In personal environment, the difficulty in understanding speech could cause social
isolation, frustration, depression, and even cognitive decline.
Although hearing aids have been proven as successful interventions to restore the
capability to care relationships, shared decision-making and personal autonomy
towards the complete well-being [8], many technical issues remain open, especially for
work environments. In fact, hearing aids are designed and adjusted to maximize the
speech perception in environmental conditions that may differ greatly from noisy and
echoing workplaces. Furthermore, it must be evaluated if hearing aids can optimize the
hearing abilities needed by workers to carry out their tasks and to amplify useful
sounds to safe levels without exacerbating the loss.
Despite the large prevalence of hearing impairment and advances in hearing aid
technology, working towards complete social and work rehabilitation of patients
impaired, hearing aid rejection rates remain high. The poor uptake of hearing aids
varies from: lack of tolerance in accepting the auditory disability or incapacity in the
use of hearing aids to the cost of the equipment or low acceptability of hearing aids or
shame especially for older individuals.
In addition, not all adults provided with hearing aids wear them regularly, or are
satisfied with them. Surveys conducted in the United Kingdom, Australia, Finland,
Denmark, and the United States revealed that between 1% and 40% of hearing aids
dispensed are never or rarely used [9].
Optimal outcomes of hearing aids are supported by comprehensive adaptive fitting
protocols, among which the evaluation of its effectiveness and satisfaction, in working
and family environments.
Satisfaction of a hearing aid evaluated by a survey, could reveal the personal
preferences and expectations of the patient, gaining importance in the determination of
the benefit and satisfaction rate. In this sense, by means of self-report measures, a
questionnaire evaluates the patient’s approach to the device and the expectations,
providing information on the benefits/disadvantages of the use of the device in real life
situations.
The aim of this study is to reveal patients’ perceived satisfaction in hearing aid-
prescribed adult population, by using the International Outcome Inventory for Hearing
Aids (IOI-HA) questionnaire and Hearing Handicap Inventory (HHI) questionnaire
post-prosthesis, developed specifically to quantify the satisfaction of hearing aid users
and the impact of these devices on their lives. The questionnaires have been applied to
reveal if acoustic benefit and satisfaction levels depend by the use of hearing aids
equipped with different technologies.
In fact, in Italy, National Health System provides and recognizes the provision of
hearing aids in relation to the hearing impairment, as a limitation of relationships, to
children suffering from hearing loss or adults with hearing impairment declared by the
specialist physician, in order to guarantee the auditory rehabilitation, in totally free
Effectiveness in Prosthetic Adaptation and Users’ Satisfaction 219
form. This because the Italian National Health System (INHS) is a universalistic sys-
tem, typical of States in which the right to health is guaranteed to the totality of the
population. All over the world there are very few States that, outside the European
Union, own or try to implement a universal health care system.
The process for the supply of a hearing aid includes five steps: the prescription, the
estimate, the authorization, the test, the declaration of approval.
The hearing aid by the INHS provides an equipment with basic technical
requirements, according with IEC 2015 [10], not expensive for the INHS, which can be
adapted more or less effectively to the subject. Typically, this Basic hearing aid does
not provide connectivity, listening programs and specific filters; it is instead equipped
with a potentiometer, telephone coil, but with a limited number of frequency channels.
Patients can take advantage of a product of a higher technical level (Medium
technology), paying a charge privately. This Medium hearing aid provides: connec-
tivity, greater number of frequency channels, telephone coil, listening and comfort
programs, anti-noise and wind filters, tinnitus masking generator, directionality con-
trols [11].
An hearing aid equipped with high-tech technology (Premium technology) can be
totally purchased. This device is characterized by high performances on signal pro-
cessing, listening comfort (adaptive noise reduction), binaural coordination (volume
control, environmental classification), automatic adaptation to specific environments
(cinemas and live music programs), directionality controls, wireless connections to TV,
mobile phones, mp3 players up to 24 frequency channels.
2 Materials and Methods
The IOI-HA was administered to 60 patients of an Italian hearing aid center, at the end
of the minimum acoustic adaptation period (6 months).
The participants were divided into 3 categories: patients with Basic technology HA
(n. 20), Medium technology HA (n. 20), Premium technology HA (n. 20).
IOI-HA contains seven questions (Table 1) used to subjectively estimate the use of
the hearing aids, evaluating on a 5-level scale the quality of benefit, satisfaction, life
quality, social communication, efficiency, associated with the use of the prosthesis,
under the following parameters: (1) time for which hearing aids have been used;
(2) benefit; (3) residual limitation in daily life activities; (4) satisfaction; (5) residual
restrictions to participation; (6) impact on other people; and (7) quality of life [12].
For this purpose, responses from left to right are assigned a value from 1 to 5,
where 1 stands for no benefit, 2 stands for minimum benefit, 3 stands with good benefit,
4 stands for discreet benefit and 5 stands for the best benefit obtained by wearing
hearing aids.
Then the answers to each question range from poor performance (1) to best per-
formance (5); the values added can get from a minimum score of 7 points to a max-
imum score of 35, and higher scores indicate a more favorable outcome.
The results collected by administrating the IOI-HA questionnaires have been sta-
tistically analyzed (chi - square test).
Table 1. International Outcome Inventory- Hearing Aids (IOI-HA) [13].

N. Questions
1 Think about how much you used your present hearing aid(s) over the past two weeks. On an
average day, how many hours did you use the hearing aid(s)?
None Less than 1 h a 1 to 4 h a day 4 to 8 h a day More than 8 h
day a day
2 Think about the situation where you most wanted to hear better, before you got your present
hearing aid(s). Over the past two weeks, how much has the hearing aid helped in that situation?
Helped not at Helped slightly Helped Helped quite a Helped very
all moderately lot much
3 Think again about the situation where you most wanted to hear better. When you use your
present hearing aid(s), how much difficulty do you STILL have in that situation?
Very much Quite a lot Moderate Slight No difficulty
difficulty difficulty difficulty difficulty
4 Considering everything, do you think your present hearing aid(s) is worth the trouble?
Not at all worth Slightly worth Moderately Quite a lot Very much
it it worth it worth it worth it
5 Over the past two weeks, with your present hearing aid(s), how much have your hearing
difficulties affected the things you can do?
Affected very Affected quite Affected Affected Affected not at
much a lot moderately slightly all
6 Over the past two weeks, with your present hearing aid(s), how much do you think other
people were bothered by your hearing difficulties?
Bothered very Bothered quite Bothered Bothered Bothered not at
much a lot moderately slightly all
7 Considering everything, how much has your present hearing aid(s) changed your enjoyment
of life?
Worse No change Slightly better Quite a lot Very much
better better
Further analysis was performed on 14 of the 20 patient with Basic technology aids
and who gave their consent to undergo further screening.
On these 14 patients, 8 were evaluated during the use of two pairs of hearing aids,
those already used (Basic ones), and new ones proposed by the hearing care profes-
sional (Medium and Premium); the remaining 6 patients (reference group) opted to
maintain their Basic technology prosthesis. All 14 patients were evaluated through
instrumental tests and Hearing Handicap Inventory questionnaire (HHI) [14].
The HHI questionnaire consists of 10 questions divided into “Emotional Sphere”
(from question 1 to question 5) and “Social Sphere” (from question 6 to question 10),
with the purpose to identify the problems that hearing loss may be causing to the
patient (Table 2).
Each question corresponds to a response among the three available options (yes,
sometimes, no). Four points are provided for the answer yes, 2 points for sometimes, 0
points for no.
Table 2. HHI questionnaire

N. Questions
1 Does a hearing problem cause you to feel embarrassed when you meet new people?
2 Does a hearing problem cause you to feel frustrated when talking to members of your
family?
3 Do you feel handicapped by a hearing problem?
4 Does a hearing problem cause you to have arguments with family members?
5 Do you feel that any difficulty with your hearing limits or hampers your personal or
social life?
6 Do you have difficulty hearing when someone speaks in a whisper?
7 Does a hearing problem cause you difficulty when visiting friends, relatives, or
neighbors?
8 Does a hearing problem cause you to attend religious services less often than you would
like?
9 Does a hearing problem cause you difficulty when listening to TV or radio?
10 Does a hearing problem cause you difficulty when in a restaurant with relatives or
friends?
For the compilation of the HHI Questionnaire in the post-prosthetic phase, the
patient was asked to describe and imagine the situations experienced after the approach
with the hearing aid.
The data collection duration was 3 months for each patient; it was designed to
gather feedback on acoustic and emotional state adaption of patients, in order to
compare the results obtained from patients wearing hearing aids equipped with different
technologies.
During the first session with the hearing care professional, the patient’s personal
data were collected. The second session included the evaluation of the acoustic fitting
through instrumental tests, (Tonal Audiometric Examination, Vocal Examination,
signal/noise ratio) with and without the aid of hearing equipment. During the third
session within 90 days, a new prosthesis equipped with best technology was proposed,
applied and tested. At the end of the 3 months, the patient was subjected to the
instrumental tests with the aid of the new hearing equipment, and the questionnaire
HHI post- prosthesis was administered.
The results collected by the HHI questionnaire have been statistically analyzed
(cluster analysis).
3 Results
The results obtained from the IOI-HA questionnaire to the 60 patients provide a rank of
user satisfaction levels (Table 3).
Table 3. Satisfaction levels for IOI-HA questionnaire

Score Questions
1–7 No benefit
8–14 Little benefit
15–21 Sufficient benefit
22–28 Good benefit
29–35 Great benefit
The patients enrolled in the study obtained a total of 1591 out of the 2100 points
available, with an average of 26.51 points each, thus showing a good overall satis-
faction and a good benefit from the use of hearing aids.
In particular, the average patient satisfaction by technological class of devices
shows that users with Basic technology have an average satisfaction of 23.8, therefore
they perceive a good benefit from the use of the hearing aid; the users of Medium
technology have obtained an average satisfaction of 27.3, so they also perceive a good
benefit from the use of the hearing aid; the users with Premium technology have
achieved a very high average satisfaction, 28.5, in the rank of those that perceive an
excellent benefit from the use of the hearing aid.
Table 4 shows the results for IOI-HA questionnaire, globally for all 60 patients:
average scores for each question are reported, respectively from Basic technology
users, Medium technology users, Premium technology users; General refers to all
patients in a whole, without the reference to technology.
Table 4. Results for IOI-HA questionnaire, globally for 60 patients

HA Question Question Question Question Question Question Question
technology 1 2 3 4 5 6 7
Basic 4.05 3.12 3.07 3.00 3.63 3.64 3.50
Medium 4.20 3.79 3.70 3.80 3.60 3.90 4.05
Premium 4.40 3.65 3.80 3.70 4.37 4.60 4.00
Average 4.22 3.52 3.50 3.50 3.90 4.05 3.85
General 4.26 3.73 3.64 3.73 3.85 4.13 3.60
The results allow to identify the questions that gave the interviewees fewer points.
In particular, question 3, regarding residual activity limitations, shows a score of 3.64
out of 5 and question 2, regarding benefit, gives a score of 3.73 out of 5.
The question 1 regarding the use of hearing aid, have registered a higher score, with
a score of 4.26 out of 5 and question 6, regarding the impact on others, with a score of
4.13.
These results show that patients use the hearing aid consistently, without particular
inconvenience or shame. On the other hand, users do not appear completely satisfied
with the benefit in some specific situations.
The results show that the level of satisfaction for patients varies according to the
technological level of the hearing aid used: patients using devices with Basic tech-
nology, obtained the highest score in question 1 (points 4.05 out of 5). On the contrary,
the same group obtained the lowest score in question 4 related to satisfaction (3 out of 5
points available).
This result shows that users with basic technology do not show great satisfaction in
using their free of charge devices.
Users who have added a small charge to purchase the higher technology devices
(Medium technology), have obtained the highest score always in question 1 (4.2 points
out of 5), while they found the lower score in question 5 that evaluates the influence
that hearing loss has on daily user activities, revealing residual participation limitation
(3.65 out of 5 points).
The results show that even Medium technology users wear the aid for many hours a
day, with a good level of satisfaction to the user, but resulting less effective in pro-
viding security in everyday situations.
Finally, data analysis concerning patients who have privately purchased the device
with Premium technology, shows that this category obtained the maximum score for
question 6, regarding any difficulties perceived in the external world regarding their
own hearing difficulties (score 4.6 out of 5); the minimum score was obtained for
question 2 (How much has the hearing aid helped in the situation where you most
wanted to hear better?) for a total of 3.65 out of 5.
The results for patients using Premium technology are not dissimilar from the
previous category. Despite having used a more sophisticated technology, the last group
shows the maintenance of some conditions of social and communication discomfort.
The chi-square test, applied to the results in Table 4, shows that there is a statis-
tically significant difference (p < 0.05) between the expected maximum value (5) and
the answers provided by the three types of hearing aid users, also with respect to the
average value calculated for each question. Therefore, all users find an effective benefit
with the daily use of the prosthesis.
The results of the statistical comparison between the answers provided for groups
of users show that there is a strong correlation (86%) between the responses of the
patients with the Basic hearing aid and premium Hi-tech, from which it can be inferred
that the patients belonging both groups are both satisfied.
Moreover, there is a great difference for satisfaction among patients belonging to
the Medium and Premium classes (29%), while it is estimated that 6 out of 10 patients
believe they have the same benefits both wearing a Basic device and one with Medium
technology (60%).
The results show that users of the Basic technology device are not satisfied respect
to those that have purchased privately an aid which use Premium technology.
A further analysis was performed on 14 among the 20 patients, all with Basic
technology HA. The group included 9 men and 5 women, aged between 54 and 85
years. Six men and four women show hearing disorders related to presbycusis, two
suffered from genetic neurosensory hearing loss, two show a hearing loss both due to
pathology and trauma to the hearing apparatus. None of the evaluated hypoacusis was
classified as professional.
These 14 patients have been suggested to change their hearing aids, but only 8
joined, choosing a technologically advanced hearing aid.
HHI post-prosthesis questionnaire was then administered to all these 14 patients.
Regarding the emotional sphere (questions 1–5), the results show the effective
overcoming of the main difficulties related to hearing impairment.
In fact, for questions 1 and 2, which detect discomfort with strangers and relatives,
the most frequent responses are respectively sometimes 78.4% and no 57%, suggesting
greater safety from the use of hearing aid.
The perception of disability or limitation due to hearing loss seems to improve
(questions 3 and 5), especially for high-tech hearing aids users; for users of basic
hearing aids the most frequent response is sometimes 53.6%, yes 43.2%, while for
users of premium technology no 39.2%.
Regarding the social sphere (questions 6–10), all patients have some difficulty in
perceiving low intensity sounds (question 6, 42.8% yes), in wide and reverberant
environments like church (question 8, 35.6% yes). Noisy environments represent an
issue for both basic and hi-tech users (question 7, sometimes 57%; question 10
sometimes 50%).
Conversely, users of advanced technology HA do not have difficulty in following
programs on TV or radio (question 9, 64.2% no).
Table 5 shows the results of the HHI post-prosthesis questionnaire for the 6 patients
who continued to wear basic technology hearing aid and for the 8 patients who decided
to test hearing aid with higher technology. The table reports the mean values for each
question given by patients.
Table 5. Results of the HHI post-prosthesis questionnaire for the 6 patients who continued to
wear basic technology hearing aid and for the 8 patients who decided to test hearing aid with
higher technology
HHI questions 6 Basic HI patients 8 Medium-premium
HI patients
1 2.00 1.50
2 2.00 0.25
3 2.00 0.75
4 1.00 0.00
5 3.67 1.50
6 4.00 1.25
7 3.33 1.50
8 3.67 1.50
9 3.00 0.00
10 3.33 1.25
Total score 28.00 9.50
According to the score interpretation given by Lichtenstein et al. [15], reported in

Table 6, the comparison between the two groups demonstrate a significant differences.
Basic HI patients exhibit severe handicap while Medium-Premium HI patients exhibit a
light handicap.
The results show that users of Basic technology HA still feel very limited due to
hearing loss (question n. 5) and still experience great difficulty in certain listening
environments, particularly in noisy environments or when more than one person speak
at the same time (question n. 7 and n. 10). The users of advanced technologies HA
obtained better results respect to patients who used Basic technology devices; their
hearing aid effectively helps them during their life, eliminating discomfort situations
and difficulty (questions n. 1, n. 7, n. 10) making them not only more involved in their
lives, but also safer in themselves, no longer perceiving hearing loss as a disability
(questions n. 3, n. 5).
Table 6. HHI score interpretation [15].

Total score Probability of hearing Handicap
impairment
0–8 13% No
10–24 50% Mild-moderate
26–40 84% Severe
The results of the HHI post-prosthesis questionnaire show that higher technological
hearing aid users express greater safety and a better quality of life in comparison to
patients who use basic devices.
1.4
1.2
0.8
Distance
0.6
0.4
0.2
0
5 8 7 10 6 1 2 3 9 4
Questions
Fig. 1. Dendrogram plot of the hierarchical binary cluster tree relative to the answers of the
questionnaire
The greater satisfaction of the prosthetic patient wearing high technology aid can be
revealed by the instrumental tests: using the basic hearing aids, the patient, at the
evaluation of the signal-to-noise ratio, recovers an average of +10% of intelligibility.
Using the new Medium or Premium technology HA, the patient at the evaluation of the
signal-to-noise ratio recovers an average of +25% of intelligibility.
However, regardless of technology, difficulty in perceiving words when more
people speak at the same time and in noisy environments can be detected, together with
a perceived disability using hearing aids.
Figure 1 shows the result of the cluster analysis to the responses of the patients to
the questionnaire.
In the dendrogram plot y-axis represents the distance between the two connected
data points and the x-axis shows question number. It is possible to observe that
questions 1, 2, 3, 4 and 9 are grouped together and question 5, 6, 7, 8 and 10 also. The
first group is related essentially to the emotional sphere while the second group is
related to the social sphere.
4 Conclusions
The results show that Basic technology devices provide a good level of satisfaction
among users, while Premium technology provides an excellent benefit. Patients with
Basic technology devices use them for many hours a day but they are not very
motivated. Even users of Medium technology HA use the devices for many hours a day
but there is a perceived lack of safety in real life situations.
Results from patients using Premium technology devices are not dissimilar from the
previous category. Despite having used a more sophisticated technology, social and
communication discomfort remain among the users, especially in complicated envi-
ronments with significant background noise or in conversations with many people.
The use of more advanced technologies, equipped with filters that work on multiple
channels, which also have the ability to connect with other technologies (Bluetooth or
wireless) or additional accessories are able to gratify much more the patient who has
the possibility to optimize the vocal perception in different environments and unfa-
vorable listening situations, effectively restoring the communication skills of the
patient.
The results of HHI questionnaire confirm what previously obtained. Regardless of
technology, persistent problems remain such as perception in noisy environments, like
working environments.
A great effort is required by the technicians in the evaluation of the patient as a
whole, starting from the perception of the disabling pathology to the identification of
the hearing aid that ergonomically better suits the needs of each patient, to the
acceptance of the hearing aid, until the adaptation of the devices in complex envi-
ronments, for the minimization of the perception of disability.
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Handheld Grass Cutter Machine
with Supporting Wheel
Mayur Mhamunkar, Sagar Bagane, Lokesh Kolhe, Vikrant Singh,

Mohit Ahuja, and Yueqing Li(&)
Department of Industrial Engineering, Lamar University,

Beaumont, TX 77710, USA
{mmhamunkar,sbagane,lkolhe,vsingh3,
mahuja,yli6}@lamar.edu
Abstract. Handheld grass cutter is an electronic or petrol-powered machine

which is used to cut the grass. Since everyone likes their houses, offices,
buildings, etc. surrounded by natural beauty, they grow plants, garden around
houses. But they are also careful about maintaining it, so grass cutter plays
important role in it. Traditional cutters available in the market are heavy and do
not have any supports so it requires many human efforts during grass cutting.
Here, we basically modified traditional hand grass cutter by providing wheel
supports and rod support at the front end and middle of the cutter. The study was
carried out with two subjective measures such as discomfort rating and Borg
category ratio. Total 20 participants were examined with a group of 10 people
performed a task on traditional and another group of 10 people on modified
hand-held grass cutter. Results of both grass cutters were obtained and compared
with each other.
Keywords: Discomfort rating Borg category Ratio

Traditional grass cutters Modified grass cutter
1 Introduction
Though we are living in the 21st-century people are still obsessed with greenery around
their houses so today people are very careful about maintaining the house backyards,
and grass cutter machines have become very essential (Fig. 1). Edwin Budding in 1830
invented first lawn mower and it was fabricated with the wrought iron and manually
driven. After that in 1914, Ideal Power Company in the United States invented the first
gasoline powered grass mower [1]. All those early designs were either manually driven
or steam powered. And eventually, petrol powered, and the electrically powered grass
cutter machine came in the market. Basically, the handheld grass cutter machine is
petrol powered with cutting blades and used to cut grass on lawns.
From the past until today, grass cutting at various places such as schools, fields,
sports tracks, industries, hotels, public centers, house backyard, etc. was done with a
cutlass (a short sword with a slightly curved blade). However, grass cutting with cutlass
is very time consuming and requires human efforts. And inaccuracy in cutting level is
also more when we use cutlass for grass cutting. The presently available handheld grass

https://doi.org/10.1007/978-3-030-20145-6_22
Handheld Grass Cutter Machine with Supporting Wheel 229
cutter machines in the market are quite heavy so they need extra human effort to hold
and swing during grass cutting (Fig. 2). Also, vibrations are produced on large scale
during this process, so prolonged exposure to hand-transmitted vibrations from
handheld grass cutter machines has been associated with the increasing muscu-
loskeletal diseases related to hand-arm vibration syndrome (HAVS) [2]. Normally ride
on mowers gives the safest ride during grass cutting whereas lawn-mowers give high
vibration levels [3]. So, there is a need to design such grass cutters which give less
vibration and require fewer human efforts during grass cutting. The study was carried
out with subjective measures such as Borg Category Ratio Scale and discomfort sur-
vey. The prototype of the original hand-held grass cutter was modified and supported
by supporting wheels.
Fig. 1. Long lawn
Fig. 2. Edge along a sidewalk using a hand-held grass cutter
2 Literature Review
A cross-sectional study carried out using an adopted HAVS questionnaire on hand-arm

vibration exposure and symptoms on 168 male workers who used hand-held grass-
cutting machines during their daily work showed positive HAVS relationship between
230 M. Mhamunkar et al.
a group of people who were exposed to moderate vibration and those who were
exposed to high vibration. Prolonged exposure of hand to such vibrations led fingers to
turn in white and felt numbness. Results showed that it is necessary to carry out health
and safety awareness programmed for grass-cutting workers who are continuously
exposed to vibrations during grass cutting [2]. Line trimmer used for grass cutting
creates a problem of uneven cutting because of holding cutter at fix level. At the same
time, the physical strain caused due to weight limits the control of the operator over the
trimmer. Hence there is a need to provide support or any attachable device that will
support trimmer and reduce stresses to the user [4]. Using a flexible model, the study
was carried out where local and whole-body vibrations hazards and possible health
damages were studied. Results showed among all-terrain vehicles (ATV), simple lawn-
mowers, ride-on mowers the ride-on mowers provide the safest ride with low vibration.
Lawnmowers gave high vibration levels. It is also suggested that the personal pro-
tective equipment is also necessary against vibration [3].
MSD related problems of gardeners who use hand tools were assessed using the
Nordic Musculoskeletal Questionnaire. The study was conducted on 120 samples
including 30 gardeners from each park. It was seen that many gardeners used a grass
cutter. Consequently, they felt (11.66%) high comfort with grass cutter, (9.16%)
moderate comfort with grass cutter and low comfort with shovels. They suffered from
discomfort in their body parts specifically in legs, lower arms, upper arms, neck, and
shoulder. It was concluded that MSD among gardeners is because of stressful work and
unawareness regarding the proper handling of hand tools [5]. Grass cutting with cutlass
takes a lot of time and requires many humanitarian efforts. At the same time inaccuracy
in grass cutting was also observed using the manual cutting method [1]. The primary
analysis was done on vibrations emitted by brush cutters and to discover daily vibration
exposure. Four different brush cutters with three machines of each model were
experimented during the study. Results showed that the intensity of vibration by brush
cutters exceeds the daily exposure limit more than two-fold [6]. Almost 750 farmers
were interviewed during a span of 4 years (1993–1996) using questionnaires. Infor-
mation regarding self-reported back pain and potential risk factors were evaluated. Near
27% of farmers (194 out of 750) had one episode of back pain which last for at least
one week or more. Males were highly suffered from back pain than females. Lower
back was the significantly affected part for both males and females (28.6% and 22.5%).
It demonstrated that back pain is an occupational health problem and affects male and
female differently which requires further attention [7]. Taking all such things into
consideration there is a need to eliminate human efforts, vibrations while using grass
cutter so that grass cutting activity becomes easy and effortless. So, to eliminate MSDs
related to back pain, especially lower back, arms and shoulder the study proposed to
provide support to grass cutter by modifying the traditional grass cutter with supporting
wheels.
3 Methodology
3.1 Participants
20 participants male (M = 40, SD = 3.03) free from musculoskeletal diseases and
neuro-muscular disorders were recruited to perform the experiment.
3.2 Equipment
3.2.1 Handheld Grass Cutter
There were two types of handheld grass cutters used in this experiment: the traditional
handheld grasscutter (Fig. 3) and the modified hand-held grasscutter (Fig. 4).
Fig. 3. Traditional handheld grass cutter Fig. 4. Modified grass cutter
3.2.2 Modified Design

Prototype grass cutter is designed by using the Plastic pipe of weight approximately
7 kg. The hollow bar is used to connect grass cutter and wheel (Fig. 5). The height of
the bar was based on the average height of participants. Two supporting wheels are
attached to the hollow bar and front end of the prototype grasscutter (Fig. 6).
Fig. 5. Bar to connect to grass cutter Fig. 6. Wheel

3.2.3 Subjective Measures

Musculoskeletal strain intensity levels were measured using a modified Borg category
ratio scale (cr-20 scale). The scale of exertion levels ranges from 0 (nothing at all) to 10
(extremely strong, maximal strain). Secondly, discomfort surveys were used to measure
the user subjective discomfort level.
3.3 Experimental Design

3.3.1 Independent Variables
There is one independent variable that is types of grass cutter with 2 levels: the
traditional one and the modified one.
3.3.2 Dependent Variables

(1) Discomfort level of muscular activity of (a) Upper back (b) Left shoulder (c) Right
shoulder (d) Left elbow (e) Right elbow (f) Left forearm (g) Right forearm (h) Low
back (i) Hip, was measured by using the discomfort survey.
(2) Average fatigue levels of the participants. This was measured by using Borg
category ratio ratings.
3.4 Experimental Task

The experiment task was grass cutting either in traditional grass cutter or the modified
grass cutter in an environment of 22 to 25 degree Celsius, 55% relative humidity. The
task last for 15 min. The participants were requested not to participate in any physical
activity a day before the experiment.
3.5 Experiment Procedure

The experiment was carried out in the following procedure:
1. The participant was asked to fill in the demographic questionnaire.
2. The participant height was measured using anthropometric tape.
3. The participant was shown a demonstration of how to operate a grass cutter.
4. The participant was asked to operate a grass cutter on a straight pathway using
either traditional or modified for 15 min.
5. After completion of the task, the participant was asked to complete the discomfort
survey and Borg Category Ratio Scale. Then, the participant was dismissed.
4 Results
4.1 Discomfort Survey

The discomfort survey data was analyzed using a t-Test. The results are as below.
(a) Discomfort on Upper Back

The result revealed a significant difference in upper back stress level between the
traditional and modified grass cutter (t = 2.861994, p = 0.010436). The discomfort
rating for upper back with modified grass cutter (M = 2.1, SD = 0.737865) was sig-
nificantly less than that with the traditional grass cutter (M = 3, SD = 0.666667).
(b) Discomfort on Shoulders
The result revealed a significant difference in right and left shoulder stress level
between the traditional and modified grass cutter (t = 2.683282, p = 0.01271 and
t = 2.3312, p = 0.031431). The discomfort rating for right and left shoulder with
modified grass cutter (M = 2.4, SD = 0.699206 and M = 2.1, SD = 0.666667) was
significantly less than that with the traditional grass cutter (M = 3.2, SD = 0.632456
and M = 2.7, SD = 0.674949).
(c) Discomfort on Elbows
The result revealed a significant difference in right and left elbow stress level between
the traditional and modified grass cutter (t = 3.579353, p = 0.002739 and
t = 3.160827, p = 0.005408). The discomfort rating for right and left elbow with
modified grass cutter (M = 2.3, SD = 0.823273 and M = 1.9, SD = 0.737865) was
significantly less than that with the traditional grass cutter (M = 3.4, SD = 0.516398
and M = 3, SD = 0.816497).
(d) Discomfort on Forearm
The result revealed a significant difference in right and left forearm stress level between
the traditional and modified grass cutter (t = 3.22047, p = 0.004744 and t = 3.488266,
p = 0.003038). The discomfort rating for right and left forearm with modified grass
cutter (M = 1.8, SD = 0.788811 and M = 1.4, SD = 0.966092) was significantly less
than that with the traditional grass cutter (M = 2.9, SD = 0.737865 and M = 2.7,
SD = 0.674949).
(e) Discomfort on Lower Back
The result revealed a significant difference in lower back stress level between the
traditional and modified grass cutter (t = 4.57662, p = 0.000234). The discomfort
rating for lower back with modified grass cutter (M = 2.1, SD = 0.737865) was sig-
nificantly less than that with the traditional grass cutter (M = 3.7, SD = 0.823273).
(f) Discomfort on Hip
The result revealed a significant difference in hip stress level between the traditional
and modified grass cutter (t = 2.44949, p = 0.02477). The discomfort rating for hip
with modified grass cutter (M = 2.2, SD = 0.788811) was significantly less than that
with the traditional grass cutter (M = 3, SD = 0.666667).
4.2 Borg Category Ratio for Exertion Ratings

The result revealed a significant difference in Fatigue level between the traditional and
modified grass cutter (t = 5.676599, p = 0.000143). The exertion rating was signifi-
cantly less with modified grass cutter (M = 2.5, SD = 0.527046) compared to the
traditional grass cutter (M = 5.7, SD = 1.70293864).
5 Discussion
In Fig. 7, Y-axis shows exertion rating and X-axis shows participants feedback on
traditional and modified handheld grass cutter. The modified design of the hand held
grasscutter has proved a significant improvement in lowering discomfort level and
fatigue level of the participants. Discomfort ratings dropped with the maximum value
in lower back. From grass cutter operators’ feedback, it was showed that the discomfort
rating and the exertion rating significantly reduced for lower back when modified grass
cutter was used compared to the traditional grass cutter. Accordingly, the injuries
related to the lower back will be expected to decrease among the operators if using the
modified grass cutter.
BORG CATEGORY
9
8 p9 4
p6
RaƟngs
3
7 2
p1 p2 p4 p7 1
6 p3
p8 p10 0
LeŌ elbow
LeŌ forearm
LeŌ shoulder
Right elbow
Hip
Upper back
Low back
Right forearm
Right shoulder
5
RaƟngs
p5
4
3 p12 p14 p16 p19
p11 p13 p15 p17 p18 p20
2
1 Body Parts
0
TradiƟonal(Mean)
ParƟcipants Number
TradiƟonal Modified
Modified (Mean)
Fig. 7. Borg category exertion rating graph
Using this design operator can work without lifting it above the ground as it has
been provided with the two-wheel support with supporting rod in a front and in the
middle of the grass cutter [6]. This design provides grass cutter support to stand on the
ground while in work. In a case of new modified design, operator just need push or pull
the grass cutter to do the straight edge cutting.
6 Conclusion
Handheld grass cutter is a modern machine to cut the grass which is normally being
used everywhere nowadays. For edge trimming and side cutting work one must hold it
and carry it for the longest time, without any support. It is a very cumbersome job to
perform. By modification of grass cutter, there is a great reduction of stresses produced
in the body of the operators. The result showed that the discomfort rating and Borg
Category Scale when using the hand-held grass cutter was significantly less than that of
the traditional hand-held grass cutter at lower back and every other body part such as
shoulder, forearm, upper body has reduced significantly. In a future work we are going
to consider the vibration effect of the grass cutter on human work efficiency, which will
give us closer view on a problem.
References
1. Ibe, G.A.: Design of a Hand-held Grass Mower. Int. J. Eng. Res. 6, 116–119 (2017)
2. Azmir, N.A., Ghazali, M.I., Yahaya, M.N., Ali, M.H., Song, J.I.: Hand-arm vibration disorder
among grass-cutter workers in Malaysia. Int. J. Occup. Saf. Ergon. 22, 433–438 (2016)
3. Tint, P., Tarmas, G., Koppel, T., Reinhold, K., Kalle, S.: Vibration and noise caused by lawn
maintenance machines in association with risk to health. Agron. Res. 10, 251–260 (2012)
4. Clesson, T.E.: United State Patent No. 4922694 (1990)
5. Srivastava, S., Kiran, U.V.: Musculoskeletal disorders of gardening labour due to hand. Int.
J. Comput. Eng. Res. 7, 17–21 (2017)
6. Krzysztof, W.: The influence of the cutting attachment on vibrations emitted by brush cutters
and grass trimmers. For. Res. Pap. 76, 331–340 (2015)
7. Xiang, H., Stallones, L., Keefe, T.J.: Back pain and agricultural work among farmers: an
analysis of the Colorado farm family health and hazard surveillance survey. Am. J. Ind. Med.
35, 310–316 (1999)
Ergonomic Evaluation in the Ecuadorian
Workplace
Oswaldo Jara1(&), Fanny Ballesteros2, Esteban Carrera1,

and Pablo Dávila1
1
Universidad Internacional Sek, Quito, Ecuador
{oswaldo.jara,esteban.carrera,
pablo.davila}@uisek.edu.ec
2
Universidad San Francisco de Quito, Quito, Ecuador
fannyballesteros@outlook.com
Abstract. In Ecuador, ergonomic risk is present in all types of work activity.

1759 ergonomic evaluations were carried out between 2012 and 2017 applying
methodologies validated and used worldwide. The results establish that more
than 90% of jobs have an unacceptable level of ergonomic risk which deter-
mines that technical and organizational corrective measures must be taken to
reduce or eliminate the risk and avoid a high incidence of musculoskeletal
problems in the working population of the country.
Keywords: Ergonomic risk Awkward postures Manual handling
1 Introduction
In Ecuador in all types of work tasks it has been possible to identify ergonomic risks by
awkward postures, repetitive movements and manual handling of loads, in addition the
incidence and prevalence of musculoskeletal disorders is high in the country’s working
population, which allows us to presume that Ergonomic management has not been
technically implemented.
After having identified the ergonomic hazards, these must be evaluated by applying
specific methodologies in order to establish the risk and apply corrective measures,
both technical and organizational. These methodologies will allow us to establish the
different levels of risk in order to prioritize our management, since the budget that
exists for safety and health activities is often insufficient, so the respective management
should be properly planned. The application of the methodologies depends on several
factors such as the experience of the technician, the complexity of the method, and the
activity evaluated [1].
The most used methods in the country in the evaluation of awkward postures are
the OWAS, REBA and RULA methodologies; for repetitive tasks the OCRA Check
List method; and for lifting loads the revised NIOSH equation. In a survey of certified
ergonomists from several English-speaking countries, it was established that the
NIOSH equation is the most used evaluation method (86.9%), followed by the RULA
method (80%), the SNOOK and CIRIELLO Tables (77.8%), and the REBA method

https://doi.org/10.1007/978-3-030-20145-6_23
Ergonomic Evaluation in the Ecuadorian Workplace 237
(68.9%). The OWAS (27.7%) and OCRA (13.1%) methods are used in a smaller
percentage [2].
The technicians must have the technical knowledge for the correct application of
the different methods, since they can be mistaken in the analysis and can overvalue or
underestimate a risk with the due consequences that these situations generate. In a
study it was possible to establish that, when applying ergonomic evaluation method-
ologies, about 30% of them have errors; in 13% of the evaluations the errors were
serious and completely invalidated the results of the evaluation; in 15% of cases the
errors led to unrealistic results; and 2% of the evaluations had errors due to method-
ological oversights [3].
The results of the evaluations will allow finding the technical and/or organizational
causes that generate the risk and the technicians must know how to manage them to
minimize or eliminate the risk. Ergonomists are currently being trained to be the initial
responsible for these activities, since the participation of experienced personnel is
important to achieve a successful program [4] Ergonomists should have knowledge
based on four levels: basic knowledge, basic applications, processes and tools, and
systems integration [5].
In addition, with the results of the ergonomic evaluations, statistics can be gener-
ated that can establish a partial reality of the ergonomic state in our country.
In a retrospective study, between 2012 and 2017, 1759 ergonomic evaluations were
carried out in different labor companies located in several areas throughout the country,
such as administrative, banking, paper production, footwear production, steel pro-
duction, tuna production, shrimp production, flour and derivatives production, hospi-
tals, tire production, vegetable markets, companies that produce newspapers,
pharmaceutical, supermarkets, textile companies, cosmetics producers, and auto shops.
Prior to the application of the evaluation methods, identification criteria were
established, under ISO/TR 12295: 2014 “Ergonomics. Application document for
International Standards on manual Handling (ISO 11228-1, ISO 11228-2 and ISO
11228-3) and evaluation of static working postures (ISO 11226). These criteria allowed
to establish uniform and technical concepts in the initial information survey, which also
involved knowing all the activities carried out, materials and tools used and the area of
work performance.
In one workplace, an ergonomic hazard or several were identified simultaneously,
which established the application of one or more methodologies in the same workplace.
The methodologies used for the evaluation of awkward postures were the OWAS,
REBA and RULA methods; for the evaluation of repetitive tasks the OCRA Check List
and the OCRA method; for lifting and transporting of loads the ISO Standard 11228-1;
and for pushing/pulling loads the ISO Standard 11228-2.
Of all evaluations applied, those corresponding to forced postures were 1278
(73%), for repetitive movements 168 (9%), and manual handling of loads 313 (18%)
(Fig. 1).
238 O. Jara et al.
Manual
Handling of
Loads
18%
RepeƟƟve
Tasks
9%
Awkward
Postures
73%
Fig. 1. Percentage of ergonomics assessments performed.
Of the evaluations applied for awkward postures, 1093 (85%) were made with the
REBA method, 127 (10%) with the OWAS method, and 58 (5%) with the RULA
method (Fig. 2).
RULA
5%
OWAS
10%
REBA
85%
OWAS REBA RULA
Fig. 2. Percentage of awkward postures assessments performed.

In the evaluations of repetitive tasks, the OCRA Check List method was used in
86% of occasions, and in 14% the OCRA method (Fig. 3).
OCRA
14%
OCRA Check-
List
86%
Fig. 3. Percentage of repetitive tasks assessments performed.
Regarding the handling of loads, 108 assessments were established as simple tasks,
100 assessment were composite tasks, and 105 estimations as variable tasks (Fig. 4).
120
108 105
100 100
80
60
40
20
Simple Composite Variable
Fig. 4. Number of manual handling assessments performed.

240 O. Jara et al.
3 Results
The results obtained from the evaluations of awkward postures using the REBA
method determined that 11% have a low level of risk, 67% a medium level, 19% a high
level, and a 3% a very high level (Fig. 5).
VERY HIGH RISK

3%
LOW RISK
11%
HIGH RISK
19%
MEDIUM RISK
67%
Fig. 5. Level of risk. REBA
By applying the RULA method it was found that 91% of evaluations have a low
level of risk, a 7% level of medium risk, and a 2% level of risk very high (Fig. 6).
Low Risk Medium Risk Very High Risk
2%
7%
91%
Fig. 6. Level of risk. RULA

With the application of the OWAS methodology it was possible to determine that in
the jobs analyzed the awkward postures were adopted more than 20% of the workday
in a 60.7% (Fig. 7).
39.30%
36.20%
21.20%
3.30%
Equal or less than 20% 20-40% 40-60% 60-80%
Fig. 7. Percentage of awkward postures. OWAS
The evaluations of repetitive movements with the OCRA Check List method
allowed us to establish that 10% of positions have an acceptable risk, 14% a very slight
level of risk, 12% a level of slight risk, 35% a level of medium risk, and 29% a high
level of risk (Fig. 8).
RISK LEVEL
Acceptable Very Slight Slight Risk Medium Risk High Risk
10%
29%
14%
12%
35%
Fig. 8. Level of risk. OCRA Check List

242 O. Jara et al.
With the OCRA method, the results allow us to point out that 5% of evaluated
positions have an acceptable risk, 4% a medium level of risk, and 91% a high level of
risk (Fig. 9).
Risk Level
5%4%
91%
Acceptable Medium High
Fig. 9. Level of risk. OCRA
RISK LEVEL
Acceptable Low Level Moderate Level High Level
8%
6%
10%
76%
Fig. 10. Level of risk. Manual handling

E rgonomics Assessment
97.40%
91.10% 92.00%
8.90% 8.00%
2.60%
Awkward Postures RepeƟƟve Tasks Manual Handling
Acceptable Unacceptable
Fig. 11. Ergonomics assessment
When evaluating lifting, transport, pushing and pulling loads with the standard ISO
11228-1 and the standard ISO 11228-2, it was established that 8% of positions have an
acceptable level of risk, 6% a low level of risk, 10% a moderate level of risk, and 76%
a high level of risk (Fig. 10).
4 Conclusions
The data were obtained applying validated methodologies and widely used at an
international level and were performed by qualified ergonomists who executed the
methodology technically to minimize the percentage of error that usually occurs in
ergonomic studies.
There are unacceptable levels of risk in a high percentage of the evaluated jobs, in
all ergonomic hazards involved exceeds 90% (Fig. 11).
In our country it can be concluded that the reasons for such a high risk are the
inadequate job designs derived from the lack of an Ecuadorian anthropometric profile
which determines a labor mismatch of a large part of workers in all types of companies.
In addition, we must mention that the organization of work in many companies
allows durations of the day exceeding eight hours, with short recovery times and breaks
for workers, with high frequencies and moderate and intense applied forces.
There are also shortcomings in health surveillance programs that do not allow
determining the physical capabilities of workers due to the lack of physiological
protocols and tools that allow to establish the work requirement and the aptitude of the
people.
244 O. Jara et al.
Likewise, the manipulated mass exceed in many activities the weight limit estab-
lished in our law (23 kg), with unsuitable handling environments that demand inad-
missible horizontal and vertical handling distances, high frequencies, and with extreme
trunk torsions; and companies think that only training is enough to minimize or
eliminate risk, forgetting completely that if we do not correct the design of the jobs and
guarantee adequate organizational aspects, the risk levels will be maintained or even
higher, generating musculoskeletal disorders to all our workers.
The ergonomic risks present in the country should be a warning signal to establish
immediate corrective measures in the entire Ecuadorian workplace.
References
1. Malchaire, J.: A classification of methods for assessing and/or preventing the risks of
musculoskeletal disorders. European Trade Union Institute, Brussels (2011)
2. Lowe, B.: Assessment methods used by certified ergonomics professionals. In: Proceedings of
the Human Factors and Ergonomics Society 2018 Annual Meeting (2018)
3. Diego-Mas, J.: Errors using observational methods for ergonomics assessment in real practice.
Human Factors (2017)
4. Hagg, G.: Corporative initiatives in ergonomics. In: Proceedings of the IEA 2000/HFES 2000
Congress (2000)
5. Bridger, R.: An International Perspective on ergonomics education. Ergon. Des. 20(4), 12–17
(2012)
Ergonomics Study in the Productive Process
in Civil Construction in the External
Plastering Activity
Ariel Orlei Michaloski(&), Juliano Prado Stradioto,

and Antônio Augusto de Paula Xavier
Federal Technological University of Paraná, Ponta Grossa, Brazil

{ariel,augustox}@utfpr.edu.br,
Juliano.stradioto@gmail.com
Abstract. This work used as an ergonomic analysis method the OCRA

checklist method, thus enabling an ergonomic risk analysis of the external
plaster activity, which is indicated by International Standard ISO 11228-3: 2009
as the preferred process of repetitive action analysis. The data collection took
place in construction sites in the cities of Ponta Grossa/PR and Porto Alegre/RS
through the application of filming and interview. The analysis of the demand
verified the higher incidence of upper limb pain and lesions, besides the question
of repetitiveness in the analyzed activity. The study of the chosen activity
resulted in a high level of risk requiring immediate intervention, with subsequent
suggestion of improvements and confirmation by means of recalculation of the
ergonomic risk to implement the advances by one of the participating compa-
nies. The progress resulted in a reduction of ergonomic risks by more than 50%,
with improvement in the postures and strength requirements.
Keywords: Ergonomics Ergonomic risk External plastering

Civil construction
1 Introduction
Construction workers (CW) have a high risk of developing work-related muscu-

loskeletal disorders (WMSD) due to the level of physical effort required in their work
activities at construction sites. According to [1] WMSDs are caused by the high risk of
activities and the complex nature of CW, as well as the large universe of micro, small
and medium companies that are not interested, do not have expertise and investment
capacity to prevent work-related disorders, thus making it difficult to cope with these
risks.
In this context [2] show that ergonomic actions are performed to identify the
ergonomic risk factors that justify the use of ergonomics knowledge in several areas of
work, but even with all the justifications presented in these studies, ergonomics is still
not prioritized in production practical issues, quality and safety at work.
Lumbar lesions and work-related musculoskeletal disorders (WMSD) are the most
frequent. In this way, WMSDs can be defined as “injuries to muscles, tendons, joints,

https://doi.org/10.1007/978-3-030-20145-6_24
246 A. O. Michaloski et al.
nerves caused or aggravated by work”. Therefore, these pathologies occur mainly in

workers involved in the transportation of heavy loads, kneeling, contact stress,
vibrations, extreme temperatures and hand and wrists sprain, typical construction
activities [3].
In CC, there is a prevalence of symptoms varying from 7 to 30% in the lumbar
region and above 50% in the upper limbs, as reported by [4]. The repetitive use of
smaller muscles and the adoption of non-neutral postures, in addition to prolonged
exposure to repetitive movements, may lead to the development of WMSDs [5].
On the other hand, [6] states that by means of procedures and methods to evaluate
the musculoskeletal load it is possible to analyze parameters related to biomechanical
factors, that is, the exerted force and posture in sequences of time.
Musculoskeletal disorders are often found in most occupations and sectors of
industry, especially in construction, as this is a sector where workers carry out a
continuous and heavy physical effort during their work activities, with critical physical
and financial consequences for workers and companies, private and public ones [7].
In view of this, the Brazilian and international construction industry presented
studies on WMSD in construction sites [8–11], among others. However, in the outside
plaster service of facades or similar services there are few published studies [12, 13],
highlighting the need for more studies in this specific activity of work at height to
minimize risks to workers.
In this context, this study aims at verifying the following problem: what are the
ergonomic factors for the aggravation of the musculoskeletal disorders of the upper
limbs in work at height in the construction, involving the activity of outside plastering
on buildings’ facades? In order to answer this question, the objective of this study is to
analyze the ergonomic demand of the outside plaster activity in facades, as well as the
associated ergonomic risk.
This study is part of a larger study, where the first step is the calculation itself of the
ergonomic risk of the outside plaster activity, together with the analysis of the ergo-
nomic demand. The second stage will be the subsequent reduction and mitigation of the
ergonomic risk in the studied activity.
2 Literature Review
2.1 Ergonomics in the Context of Construction

The concept that ergonomics is a discipline that aims to provide systems of safety,
well-being and performance necessarily includes a mixture of knowledge from areas
such as engineering, medicine and behavioral sciences. [14] also points out that this
discipline provides a solid foundation for analyzing, designing and creating high-
quality work situations for the employee, as well as valuable performance in different
types of operations systems.
Ergonomics in construction has a wide range of studies in several of its areas of
activity. According to [15] who developed a study on the ergonomic analysis of the
gypsum installer activity, where the high level of effort was found in the lumbar region
and shoulders during the installation of gypsum drywall.
Ergonomics Study in the Productive Process in Civil Construction 247
Statistics in the Bureau of Labor Statistics (BLS) database, between 2011–2015, in

the US construction industry, show that the most injuries/illnesses resulted in absence
from work, as shown in Table 1.
Table 1. Number of non-fatal injuries and illnesses involving days off work
Year Lumbar Arms Neck Hands/wrist Shoulders
2015 1710 670 90 2140 4300
2014 2470 400 310 3770 890
2013 2190 470 80 3540 810
2012 2500 1050 250 3150 1360
2011 3020 540 120 3580 890
Total 11890 3130 850 16180 8250
29,50% 7,77% 2,11% 40,15% 20,47%
The most expressive results, especially in the hands/wrist with 40.15%, followed by
lumbar lesions with 29.50% and shoulders with 20.47%, considering only upper limbs.
These disorders and illnesses compel workers to stay for long periods away from work,
increasing the risk of chronic health problems [3].
2.2 Method of Analysis of the Ergonomic Risk Factor

To support the choice of method for this research, the International Organization for
Standardization ISO 11228-3: 2009 recommends the OCRA method for repetitive
action analysis, as it considers all relevant factors, and it is also applicable in the case of
complex tasks analysis based on epidemiological data (extensive database of occur-
rence of WMSDs) in relevant populations of exposed works (ISO 11228, 2009).
According to [16], the OCRA checklist method is recommended by ISO 11228-3:
2009 also for studies of low loads with a high frequency of repeatability, which is the
case of the activity of outside plastering on buildings’ facades, since this method
considers several risk factors such as repetitiveness, strength and posture.
2.3 General Criteria of the OCRA Checklist Method

The OCRA checklist is a tool that aims to measure the risk of biomechanical overload
of upper limbs, which can be used both in the initial stage of estimating risk levels in a
given industrial environment (in the case of this research, in building sites), or at a more
advanced stage of research or business management, to manage the risk of the analyzed
activity [17].
OCRA checklist consists of five parts that focus on the four major risk factors
(recovery time, frequency, strength, inadequate posture/stereotyped movement) and a
number of additional risk factors (vibration, low temperatures, precision work, repeated
impacts, etc.), and also the factor in the net duration of repetitive work in the final risk
estimate [18].
The calculation procedure to reach the final result (Fig. 1) shows how all risk
factors are included; the recovery period is a multiplier that must be applied together
with the duration factor to the sum of the scores for the other risk factors [18].
Fig. 1. OCRA CHECKLIST calculation procedure
The method is not only useful for accurately measuring the risk of upper limb
biomechanical overload, but also for collecting vital information for risk management
purposes (such as corrective actions, rotation of tasks, etc.) and damages [13].
3 Methodology
Data collection was performed in small and medium sized construction companies
located in the city of Ponta Grossa - Paraná and Porto Alegre - Rio Grande do Sul, data
were collected from November 2017 to April 2018.
The sample is non-probabilistic, that is, for convenience, due to the type of service
analyzed, since the outside plaster activity only begins to be performed in a medium-
sized building (from 5 to 8 floors), on average after one year from its date of beginning,
that is to say, after finishing the superstructure of the building, concrete structure and
sealing masonry.
For the data collection in the construction sites, the strategy of scheduling an
explanatory meeting about the research prior to the site visit was adopted. After the
explanation meeting, the companies were more interested in the return that the research
could bring to the industry, and so these companies agreed in participating.
The population studied was composed of 101 employees of the construction
companies’ operations sector, distributed in the works of outside plaster, according to
the information provided by the companies. Being the population defined, the criterion
of exclusion of the employees who were in the experience period (90 days) was
applied, the total number of workers to be part of the study changed to 90.
Afterwards, three more inclusion criteria were used (age from 18 to 50, registered
Work and Social Security Card – CTPS and accept to sign the Free and Informed
Consent Form), and the final sample was 64 workers.
Filming, photographs and interviews were then carried out in a six-month period
(2017 and 2018), due to the complexity and availability of the activity at each par-
ticipating construction site. The filming contemplated the whole cycle of the job,
showing the posture of the upper limbs with detailed visualization of the activities
carried out by the employee, as well as the handling of his working tools.
As for the data analysis procedure, the OCRA checklist method was used to
describe and understand the work station and to estimate the level of intrinsic exposure
of the analyzed task, that is, as if the station was the only one used for the entire shift
(daily shift of 8 h, according to CLT) by a single worker. The procedure allowed to
understand if the working station analyzed had “absent”, “light”, “average”, or “high”
exposure, without taking into account the workers’ turnover in the working stations or
tasks (Table 2).
Table 2. OCRA checklist results classification
OCRA Checklist Values Risk Actions

Up to 7,5 Acceptable None
7,6 – 10,0 Borderline vey light risk New checking
11,1 – 14,0 Light Risk
Reduce risk
14,1 – 22,5 Average Risk
≥ 22,6 High Risk Immediate intervention
4 Analysis of Results
In order to adequately respond to the proposed objective, the analysis was developed in
a three-step sequence. Firstly, the statistical treatment of the sample was performed,
after the ergonomic demand was identified and then, based on it, the calculation of the
ergonomic risk was accomplished.
Regarding the statistical treatment, the Kolmogorov-Smirnov Normal Test was
performed in a first stage with the sample of 64 workers, because it was a sample of
more than 30 cases, between the results of the right and left limbs, which resulted in a
normal sample, that is, with significance level > 0,05 (Right OCRA, ƿ = 0,100;
Left OCRA, ƿ = 0,098).
To analyze if there was a significant difference, the results were submitted to the
ANOVA test, obtaining a significant value for the sample for both groups (OCRA
Right, ƿ = 0,554; Left OCRA, ƿ = 0,633).
Therefore, there is no difference in ergonomic risk between the results, because
these are results within the same method of ergonomic risk assessment, thus demon-
strating that the sample is significant for the purpose of this study.
The worst result found in the sample used for this study was taken into account for
the analysis of the calculation of the ergonomic risk of the activity.
4.1 Identification of Ergonomic Demand

In order to identify the ergonomic demand, the list of medical certificates submitted by the
employees who performed the activity of outside plaster was checked at the Human
Resources Departments of the companies or responsible technicians or the ones
responsible for Labor Safety, in the period of 12 months (from April/2017 to April/2018).
The survey among all the sites visited in the cities of Ponta Grossa/PR and Porto
Alegre/RS reached a total of 247 medical certificates, a small amount compared to the
total number of workers in the worksites visited, but only the outside plaster team was
taken into consideration.
The medical certificates were identified by the International Classification of Dis-
eases (ICD) and the complaints registered in the workplace by the Occupational Health
and Safety team were also taken into account, as shown in Chart 1.
Chart 1. Identification of work leaves by ICD
After the identification of the most common type of injury among the employees
who perform the outside plaster activity, according to Chart 1, pain or muscle injuries
represent 28% of the medical certificates presented as justification for absence from
work in the companies visited. Within this 28%, the upper limbs are the body parts
where most of the pain or muscle injuries occurred, representing 89% of the com-
plaints, thus meeting the first specific objective of this research regarding Ergonomic
Demand in the analyzed activity, according to Chart 2.
Chart 2. Ergonomic Demand on outside plaster activity
Another important factor for the diagnosis of the Ergonomic Demand of the ana-
lyzed activity is the question of repeatability, that is, according to Rosencrance et al.
[19] repeatability is the most important risk condition, so much that WMSDs related to
pain or muscle injuries in the upper limbs were often defined by this element, or better
known as Repetitive Strain Injuries.
The workstations that were the object of the analysis and, therefore, observed, were
the ones located on pendulums, scaffolding facades and platform rack.
4.2 Ergonomic Risk

In order to determine the ergonomic risk, as a first step, the description of the working day
of the sample used for this work is essential. The working day in the large urban centers, in
medium and large companies, is composed of two shifts, according to Table 3.
Table 3. Working day

Description Work schedule
Start 8:00
Supply pause (10 min) 8:10
Snack (10 min) 9:30
Lunch (1 hora) 12:00
Supply pause (10 min) 13:10
Snack (10 min) 15:30
Finish 17:00
For the final calculation, the working day was considered as intrinsic, that is, 8 h,
only discounting the pauses for the calculation of the average effective duration of the
repetitive work.
As for the observation of the analysis, the activity of the two limbs was taken into
account. Therefore, the ergonomic risk was based on the activities of the dominant
limb. The method used can be considered solid and suitable for the activity that
involves the repetitiveness question, and comparing to the OCRA Index method, which
takes into consideration the calculated dominant limb index.
For the application of the outside plaster, the workstations have a team with at least
two people, that is, a helper who carries the material and also the supply during the shift
to the collaborator (mason) who performs the plaster activity on the facades.
In the calculation of the OCRA checklist for the repetitive task of the analyzed
work station, the following items were determined: (a) effective duration of repetitive
activity; (b) factor of lack of recovery periods; (c) frequency of action factor;
(d) Strength factor; and (e) inadequate postures and stereotypy.
The number of cycles observed in this position in a working shift was 480
cycles/shift for each 1 m2 of facade built, which resulted in the duration of the total
effective cycle time of 45 s, being within the significant difference (less than 5%), thus
allowing to move on to the next step.
As for the lack of recovery periods, in the presented scenario, regarding the shift
and pauses performed in the analyzed construction sites, it was verified 4 h without
recovery in a working shift, with a Recovery Multiplier of 1,330.
Regarding the frequency of action factor, four technical actions were considered
(Table 4).
Table 4. Observed technical actions of the dominant limb

Technical actions Number of technical actions Number of technical actions of
of the dominant limb the non-dominant limb
Preparing mortar with 14 –
trowel
Sawing mortar with 21 –
tool
Finishing with forging 27 –
machine
Throwing water on the – 5
wall with brush
Total 66 5
After calculating the frequency for each limb, the next step is the Frequency Score,
this score was used in the final score of the method.
The Frequency Score found for the dominant limb with a frequency of 88,0
technical actions/minute was 9. For the non-dominant limb the frequency was 6,7
technical actions/minute, which resulted in a Frequency Score of 0.
Regarding the use of strength, the result of the interview of the Borg CR-10 scale
resulted in the punctuation 3, moderate, since daily tools are used, besides the handling
or lifting of objects, weighing less than 2 kg.
For the dominant limb, the employee quantified the perceived effort as being more
than half the cycle time, obtaining the Strength Score of the dominant limb 6. For the
non-dominant limb, the quantification of the perceived effort resulted 1/3 of the time
cycle, ending in Strength Score 2.
Regarding the Inadequate Postures of the dominant limb, the following situations
were identified after the analysis of the activity cycle filming, according to Table 5.
Table 5. Inadequate Postures of the dominant limb

Parts of the upper Movement Concept of time Score
limb
Hand Pinch About 2/3 of the 4
time
Shoulder Arm almost at shoulder height About 2/3 of the 12
time
Fist Extreme deviation About half the time 3
Elbow Full rotation or large flexo- About 2/3 of the 4
extensions time
For the non-dominant member, Table 6 exposes the situations found, following the
same procedure of the previous analysis.
Table 6. Inadequate Postures of the non-dominant limb

Parts of the upper limb Movement Concept of time Score
Hand – – –
Shoulder Arm almost at shoulder height Less 1/3 of the time 2
Fist – – –
Elbow – – –
Regarding the stereotypy, for the dominant upper limb, evaluation presented the
“always repeat the same technical actions” option in most of the time (more than half),
resulting in a final score of 1,5. For the non-dominant limb, no stereotyped situation
was found.
The inadequate posture score found for the dominant and non-dominant limb,
respectively, was 13,5 and 2, final score including values of inappropriate postures and
stereotypy.
With respect to the Complementary Risk Factors, the outside plastering activity
does not fit into any of the situations of complementary organizational risks or physical
risks that the method advocates, resulting in a zero score in that item.
As for the final score weighted by the actual duration of the activity analyzed within
the cycle, it resulted in a value of 35,06 and 4,92 for the dominant and non-dominant
limb, respectively, for the analyzed work station, considered as high risk, alues
22,5, requiring immediate intervention. Therefore, interventions with ergonomic
improvements in the operations procedures are recommended to rapidly reduce the
ergonomic risk of employees at the workplace (Table 7).
Table 7. Output demonstration
Frequency Strength
Inadequate Posture Final Score
Job Score Score
R L R L R L R L
Traditional
9 0 6 2 13,5 2 35,06 4,92
Mason
Source: prepared by the author, 2018.

5 Final Considerations
The research presented as basis of its foundation, the use as a method of ergonomic risk
analysis, the OCTRA Checklist methodology, for the analysis of the outside plaster
activity and, consequently, it was also used to analyze the improvements for the
decision making by the participating company.
This study reached its proposed objectives, thus contributing to the reduction of the
ergonomic risk in the work station analyzed, through the identification of opportunities
for improvement in partnership with the company.
As for the ergonomic demand, it was possible to identify the data collected by the
Health and Safety Departments, thus demonstrating how these companies are organized
and helpful with their employees, confirming the repetitiveness to the ergonomic
demand for the upper limbs and the correct choice of OCRA Checklist method,
observational method, low cost and indicated by International Organization for Stan-
dardization ISO 11228-3: 2009 as a preferred method of repetitive action analysis.
Regarding the ergonomic analysis of the outside plaster activity in buildings’
facades, the objective was achieved, proving the high degree of ergonomic risk that the
workers are submitted daily in their work stations. The result found was of high risk
with need of immediate intervention, thus demonstrating the great choice of activities
that construction covers and must be studied scientifically by the Academia.
When observing the risk factors during the calculation of the weighted final score
of the method, it is noticed that the postural question is the most relevant, with special
attention to the joints of hands, shoulder and elbow, which play a fundamental role for
the occurrence of RSI/WMSD in workers’ health.
The current study allowed the analysis of an activity that had not yet been studied
by Ergonomics, since it is a very specific activity within a very large range of activities
that a construction site covers, aiming at ergonomic improvements in the performance
of the activity and increase of productivity for companies.
This research has as limitation the difficulties of approaching the construction
companies, due to the fear that the information and names of the companies are
disclosed to the general public and also because the activity is very specific, making it
difficult to reach it and increasing the study period. For future studies, the suggestions
are the application of the TACO method for ergonomic analysis of the lower limbs in
the outside plaster activity, application of the OCRA checklist method in other specific
jobs in the building construction, thus consolidating the ergonomic analysis in the
sector and correlating the results obtained for productivity improvement in the activity
analyzed. The possibilities are many within the construction in activities that have not
yet been analyzed scientifically.
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The Ergonomics of Sorting Recyclable
Materials: A Case Study of a Brazilian
Cooperative
Hebert Silva(&)
Industrial Engineering Course, Federal University of Uberlandia,

Ituiutaba, Brazil
hebert@ufu.br
Abstract. This paper presents a case study of ergonomics in a materials

recycling cooperative located in Brazil. Techniques of qualitative analysis and
observation of the work environment were conducted to obtain data. Coopera-
tives are currently an outlet for municipal solid waste management, emerging as
a source of income generation and labor integration for people who are
marginalized from formal work. The main objective of this study is to analyze
the work station of the cooperative with the largest number of workers,
specifically the area for sorting recyclable materials. Given that income gener-
ation is concurrent with poor working conditions, this paper argues that ergo-
nomics can greatly contribute to the improvement of productivity and the quality
of life of the cooperative members.
Keywords: Ergonomics Sustainability Recycling of materials
1 Introduction
Selective collection induces environmental preservation by reducing the amount of

garbage that accumulates in landfills, and thus greatly curtails the impact of waste.
Brazil has a leading role worldwide in recycling aluminum cans for three consecutive
years, among nations where this activity is not mandatory in their legislation.
According to Silva, the formation of recyclable waste cooperatives is a viable way for
garbage collectors to negotiate directly with the industry, as well as a way for the
collective to provide its members with a better standard of living that simultaneously
brings dignity to their occupations [1]. In general, the formation of a collective miti-
gates the exclusion of recyclable waste pickers as it changes their occupational identity
in a positive way. In addition, the collective promotes the development of a social
capital attuned to the political and social interests of the cooperative.
Thus, the entire population benefits from selective collection, including the pickers.
They have a fundamental role in this whole process, and they are able to perceive their
contribution to the environment, thereby moving beyond their work-based social
exclusion [2].

https://doi.org/10.1007/978-3-030-20145-6_25
The Ergonomics of Sorting Recyclable Materials 257
Ergonomics in this sector is crucial to provide adequate procedures for the exe-
cution of activities, with the objective of increasing productivity and preserving the
health of cooperative members by regulating appropriate postures and reducing job-
related constraints and injuries.
According to NR-17 [3], employees are provided with improvements to make the
work space secure and comfortable to the maximum. These enhancements create an
environment that allows employees to increase their work performance and that
complements their psychophysiological characteristics. Such regulations provide a
standard to which a company can be compared to develop an overview of their
practices and compliance. With this legislation, it is possible to monitor and evaluate
what may be faulty and then take steps to fulfill all of the requirements [2], including
for the company presented here.
In this sense, the ergonomic analysis of work discussed in this study is a method
that provides important advances in the field of recycling in Brazil. It combines
analysis of two globally increasing sectors: ergonomics and sustainability.
2 Solidarity Economy
By the end of the 20th century, the Brazilian working class will need to find new
income sources and other possibilities for work organization and arrangements [4]. One
option is the Solidarity Economy, which is the basis of cooperativism in recycling
projects, with inclusivity and sustainability as its guiding principles. In [4] with the
need for workers to find new income sources, at the end of the 20th century other
possibilities for work organization and arrangements by the working class have
emerged in Brazil.
According to [5], Solidarity Economy began after industrial capitalism, which took
place after the First Industrial Revolution in Great Britain and resulted in the great
impoverishment of the craftsmen caused by the dissemination of machines and the
production organization of production.
In this context, the solidary economy, as a guide for the construction of self-
management models in companies, has influenced the creation of cooperatives based
on socialist concepts that encourage cooperativism.
According to [2], this is possible due thanks to the inclusion of people directly in
the management and progress of economic enterprises in solidarity in their own
neighborhood, territory, city, etc. Solidarity involves conduct that is practically and
ethically oriented to the community. It assumes that the problems of society are not the
result of lack of individual capacity, but of structural factors, which results in the
joining of efforts to overcome the forms of degradation of individuals and their
difficulties.
In Silva [6] using this approach, a cooperative of recyclable materials is created for
the allocation of workers aiming at development through generating work and income
with social inclusion.
258 H. Silva
Still according to [5], the Solidary Economy in Brazil appears in the decade of 80
like replica of the collaborators to the social crisis occasioned by the economic stag-
nation and the increase of the capitalism. It is approached as the structuring of the
collective economic activities of the workers that become associated and realize the
self-management. Its principle is the adequacy of the means of production for the
collective, implementation of democratic management, and autonomy over the course
of production, the use of leftovers and the responsibility for eventual losses.
According to [7], Solidarity Economy is born as an organizational practice of some
populations, such as “The Movement of Landless Rural Workers”, that is, the move-
ment with more recognition in the country that was the result of the mobilization of
isolated workers of the means of production that fought for the agrarian reform. It also
seeks to reinvent the practices of power in an organization and thus fight for rights,
democratic achievements and citizenship, attacking issues related to cooperation and
association of groups of workers. A social thought that provides cost-effective solutions
is that one of the pillars of cooperation is reciprocity itself. In the execution of Soli-
darity Economy, those involved must collaborate in the practice of some activity with a
common benefit.
3 Evaluation of the Work Station
According to Iida, the workstation is a productive unit that includes a man and the
machine used to perform tasks, as well as the environment itself [8]. This includes
knowledge of biomechanics (the application of laws of mechanics to the human body)
and anthropometry (the study of the measurements of the human body). The ergonomic
approach aims to create jobs that reduce biomechanical and cognitive demands,
seeking to position the operator in the best posture possible. The tools to be used should
be placed within the range of the body movements to facilitate their perception, and to
make it possible to perform the work with comfort, safety, and efficiency.
Per the Manual of Ergonomics (2008), on-the-job actions and tool use must account
for the anthropometric measures of the worker in practice; however, behaviors and
demands also need to be analyzed [9]. Furthermore, there are recommendations and
norms that must be followed when dealing with some specific subjects, because dif-
ferent activities or workplaces have their own regulations [9]. For specifications such as
work height, some guidelines should be followed to achieve good performance and an
ergonomically correct activity: working height and adjustable tables for standing
activity, recommendations for sitting, seat and table legroom, tables for typing, a
process for alternating between standing and sitting, and the posture of the employee’s
trunk in the exercise of his activity.
Iida [8] notes that in a work environment with its technical specifications such as
height, width, positioning, and length, other factors that influence the performance of
the collaborator, such as the lighting of the place, must be studied. For example,
lighting can affect vision and thus, cause low performance or affect results. Factors such
as temperature, noise, and vibrations can also cause certain discomfort and even cause
health problems and, therefore, influence work performance.
4 Methods and Techniques
The present work takes a qualitative approach using the case study as a research
method. According to one definition, the case study is an empirical research approach
that analyzes a particular phenomenon in its real-life context, especially when there is
no clear definition of the boundaries between the context and the phenomenon [2].
For this research, a case study was carried out at the Recyclable Material Collectors
Cooperative, because of its importance in the municipal recycling context and the
availability of the cooperative for this study.
The unit of analysis here is the process of sorting materials that is carried out on the
sole treadmill at the cooperative. Figure 1 represents the physical arrangement of the
material sorting sector.
Fig. 1. Physical arrangement of the treadmill used for sorting.
Details of a cooperative member’s work station on the sorting mat are shown in
Fig. 2.
260 H. Silva
Fig. 2. Work station for material selection on the conveyor belt.
This snapshot of the sorting process was taken to maximally illustrate the work
process. During this stage, there are the largest number of workers concentrated and the
most inherent variability in the recyclable materials. Consequently, an intense amount
of physical work and greater attention to and knowledge of the materials’ character-
istics are required in this process. In addition, sorting represents the main bottleneck of
the recycling chain.
The work station under study is composed of 12 workers tasked with sorting the
materials. Sorting activity consists of the manual selection of materials stored in big
bags for later pressing or for sale to processing industries. The selection of items is all
manual, with a belt-controlled material line speed. However, in case of the accumu-
lation of materials, one of the cooperative members shuts down the conveyor until the
flow is normalized.
The worker selects materials for the correct destination by placing it in containers
that are located on the back side of the conveyor belt. This area does not have seats;
sorters stand throughout the workday.
For the case study, the ergonomic analysis of work method was used based on
systematic observation of the work station with the following equipment: camera,
notebook, pen, tape recorder, audio recorder, decibel meter, and meter of thermal
stress. The interviews with the sorting workers were carried out in their own work
station, while the president of the cooperative was interviewed in a reserved room.
The approach to data collection and analysis will be based on Activity Ergonomics.
This approach was chosen because the discipline of ergonomics focuses on the sci-
entific study of work. In addition, the Ergonomic Work Analysis (EWA) tool was used
to complement the analysis.
5 Results
5.1 Environmental Parameters
During the study period, environmental measurements were performed, with the data
presented in Table 1 for the material sorting sector.
Tab. 1. Environmental data for the material sorting sector.

Agent Value Tolerance limit
Noise 73.15 dB(A) 85.00 dB(A)
Wet Bulb Globe Temperature (WBGT) 28.3 °C 26.5 °C
Brightness 37.25 lx 500 lx
According to the data collected, it is possible to verify that the noise is below the
tolerance limit of 85.00 dB (A) outlined in Annex 1 of the NR-15 [10].
Note that the value of WBGT in Table 1 exceeds the tolerance limit for moderate
activity as regulated in Annex 3 of NR-15 [10].
Brightness is well below the recommended values for screening activity. Taking as
reference the Occupational Hygiene Standard NHO 11 [11] for screening activity in the
paper industry, we have a recommended value of 500 lx. This means that according to
NHO 11 brightness has a value below 10% of the recommended one an inadequate
amount in the sector for this sorting of materials.
5.2 Activity Analysis

From analysis of the sorting task and other activity, several variabilities in the material
can be observed in the screening process with the most important of these described in
Table 2.
Tab. 2. Variabilities in screening activities.

Variabilities Description
Material status Wet, dirty, bad smell
Material flow Floating in quantity of material
Types of Hazardous products mixed with materials for reuse, hospital materials, and
materials other organic materials
Competence Variation in work experience in the cooperative
The cooperative is marked by variabilities and contradictions that originate in

different operative modes. The workers themselves present variations in competence,
motivations, and experiences. For example, in the screening activities among them the
ones described in Table 2.
262 H. Silva
Per Silva, variabilities are focused in work activities, requiring cooperative mem-
bers to shape their operative modes to achieve proposed outcomes [1]. In the coop-
erative, the strategies developed depend on three variables: the characteristics of the
cooperative (motivation, age, training), the characteristics of the task (the level of task
requirement), and the degree of workload and associated work activities. These vari-
ables are in turn related to the chosen ergonomic strategy.
In this context, it can be observed that the cooperative analyzed here does not have
formally defined tasks. Knowledge emerges from the collective; information is trans-
mitted from one cooperative to the other through exchanges of experiences or
coexistence.
These variabilities were detected and structured during the field observations, and
they were then confirmed by interviews with the cooperative members.
Note that the treadmill controls the working pace of the sorting. However, it
contributes to collective regulation as it allows the team to accelerate its speed or to
stop it completely when necessary.
It was observed that work strategies to accelerate production, to prioritize the most
valuable material, identification of bags with garbage to avoid picking them up or
opening them, or not using gloves because they disturb the work process are examples
of conducts obtained from the process of regulation, in which the cooperated mobilizes
the knowledge about its activity to achieve the desired results.
It was possible to identify different forms of workers’ organization of their actions
to obtain desirable results in the process of sorting recyclables. As a form of regulation,
the cooperative workers act on the means of work, seeking to organize them in a more
functional way by considering their experience, the pace of work, and their physical
limits. The large bags of materials that are part of a member’s responsibility can be
repositioned in a way that the worker prefers. In certain situations, it was observed that
the cooperative member prefers to leave the large materials on the left side, because it is
easier to pick up small materials with the right arm. In order to carry out these
observations and to identify work strategies related to the body, the author needed to
get as close as possible to the employees. One tactic used was informal conversation
through which it was possible to recognize the workers’ needs and initiate dialogues
where workers noted necessary changes such as new facilities or changes to the
organization of production. Some selected reports are presented below as examples of
intervention needs.
The Personal Protective Equipment (PPE) for the cooperative members causes
discomfort and is insufficient. The cooperative does not have specific training. Other
negative points that were easily noticed were related to work hygiene, especially the
poor lighting at the site.
There are no standardized procedures for carrying out activities, and the author
noted an absence of rest breaks along with a lack of seating in the sorting sector.
These omissions were verified with the cooperative, and it was discovered that
there was no formal planning for the periodic, obligatory exams mandated in the
regulatory guidelines.
5.3 Time Requirement and Content

The time requirement is directly linked to the amount of materials available for sorting.
This fact can be identified in the interviews with the workers and with the president of
the cooperative. There is no imposition of how much material should be produced
within any given time. The speed, cadence, and rhythm of the activities are directly
related to the demand of the task flow. Regarding the frequency and regularity of the
execution of the activities, there are no clear pressures or overloads due to the available
time. The temporal constraints of sorting recyclable materials in cooperatives are
related to the rhythm of work that determines the operative modes to be adopted.
According to the observations, it was noted that the operational tasks are developed
according to the quantity of materials available, their price, or the opportunity to sell
certain material. In case of an interruption in the material supply, such as problems in
the collection truck, there are idle periods in the sorting. The time spent to perform a
task, or each of the activities required by the task, varies according to the demand for
services. The triage goals in cooperatives are measured according to a timeframe, and
specifically in treadmill screening, it was observed that this measure and cadence of
work are closely related to treadmill speed.
The pace in general oscillates according to the separation activities to be performed,
being imposed on the worker by the quantity of materials available. However, there is
variability in the tasks. The rhythm is free, and the cooperative member has autonomy
to determine his own cadence. According to interviews at the cooperative, the pre-
dominant rhythm in the execution of the activities is moderate.
In this way, Fig. 3 presents some of the factors that can influence the execution of
activities. The great variation of material and its disposition on the mat affects the
amount of time allocated for each task.
Fig. 3. Variation in the organization of big bags affecting the execution of activities.
264 H. Silva
5.4 Diagnosis
As in Silva (2018), this study confirmed the hypothesis that the activity of cooperative
tasks would be permeated by various occupational, ergonomic, biological, chemical,
physical, and accident-related risks and that the Ergonomic Work Analysis
(EWA) could assist in the survey of occupational risks involved in the screening
activity.
Based on the analysis and the interviews conducted with the cooperative, there are
several points that may cause discomfort or unfavorable ergonomic conditions during
the screening activity:
• Trunk flex occurs when picking up materials located away from the treadmill and
transferring them to the big bags.
• Spindle rotation occurs to place the materials inside the big bags, because of the
position of the co-worker facing the conveyor who makes a turn to store them.
• There is a fixed tread height for different anthropometric profiles of the cooperative
members.
• Repetitive movements occur due to the imposition of the speed of the treadmill.
• Sharp punch materials are placed next to the material to be recycled.
• Regarding the physical environment, the lighting and temperature are outside of
tolerance limits.
6 Conclusion
Following analysis from the perspective of Ergonomics and Work Safety using the
specific methods and tools described above, it was verified that non-conformities exist
in the work environment, potentially causing the cooperative to malfunction, affecting
the quality of the activities performed, and inducing the members’ illnesses.
Such non-conformities in a productivity analysis allow us to consider that, in the
absence of improvements in working conditions, there will continue to be negative
impacts on the company’s production. From another perspective, this situation directly
contributes to the loss of the quality of life of the cooperative members.
With regard to physical ergonomics, it was possible to conclude that there are
several problems in the workers’ sorting space and their environmental conditions. As
for the internal problems of the organization, these are noticeably present and affect the
social interaction among the members; namely the lack of communication and diffi-
culties of coexistence were noted in the study.
In this way, it is evident that there is a need for improvements, and, to this end, the
study suggests that changes in the work environment will favor the cooperative in
several aspects. The author argues that the implementation of changes will initiate a
reduction in the possibility of incidences of worker absence and faults in the cooper-
ative as a result of accidents or sickness.
References
1. Silva, H.R.: Evaluation of occupational safety and ergonomics in the reuse and recycling of
solid materials. In: Ahram, T., Karwowski, W., Taiar, R. (eds.) Human Systems Engineering
and Design. IHSED 2018. Advances in Intelligent Systems and Computing, vol. 876,
pp. 716–721. Springer, Cham (2019). https://doi.org/10.1007/978-3-030-02053-8_109
2. Souza, R.L.R.: Analysis of the process of regulation of the recycling activity of recyclable
materials: a case study in a cooperative. Thesis (Doctorate) - Postgraduate Program in
Production Engineering, Federal University of São Carlos, Sorocaba (2014). (104 f.)
3. Ministry of Labor and Employment: NR 17: Ergonomics, 17 edn., Brasília, 14 p. (1990)
4. Silva, H.R.: Ergonomics in reuse and recycling of solid materials: demand analysis. In:
Goossens, R. (eds.) Advances in Social and Occupational Ergonomics. AHFE 2018.
Advances in Intelligent Systems and Computing, vol. 792, pp. 124–132. Springer, Cham
(2019). https://doi.org/10.1007/978-3-319-94000-7_13
5. Singer, P.: Globalization and unemployment: Diagnosis and alternatives. Context, São Paulo
(1998)
6. Silva, H.R.: Analysis of ergonomics in the reuse and recycling of solid materials in Brazilian
cooperatives. In: Bagnara, S., Tartaglia, R., Albolino, S., Alexander, T., Fujita, Y. (eds.)
Proceedings of the 20th Congress of the International Ergonomics Association (IEA 2018).
IEA 2018. Advances in Intelligent Systems and Computing, vol. 825, pp. 960–969.
Springer, Cham (2019). https://doi.org/10.1007/978-3-319-96068-5_104
7. de Medeiros, C.: MST: Movement of landless rural workers (2017). http://www.mst.org.br/
2017/07/10/mst-presente-na-maior-feira-de-economia-solidaria-da-america-latina.html.
Accessed 12 Jul 2018
8. Iida, I.: Ergonomics: Design and Production, 3rd edn. Blucher, São Paulo (2016)
9. Kroemer, K.H.E., Grandjean, E.: Manual of Ergonomics: Adapting the Work to the Man, 5th
edn. Bookman, São Paulo (2008)
10. Ministry of Labor and Employment: NR 15: Unhealthy Activities and Operations, Brasilia,
82 p. (1978)
11. Fundacentro: Assessment of lighting levels in internal work environments: technical
procedure Occupational hygiene standards - NHO 11, São Paulo, 63 p. (2018)
Quality of Labor Life in Workers
of the Informal Economy
in Guadalajara, Mexico
Raquel González-Baltazar(&), Mónica I. Contreras-Estrada,

Silvia G. León-Cortés, Brenda J. Hidalgo-González,
and Gustavo Hidalgo-Santacruz
University of Guadalajara, Health Sciences University Center, Guadalajara,

Jalisco, Mexico
raquel_gh@hotmail.com
Abstract. Currently the Quality of Labor Life (QLL) has been studied only in
formal work, regardless of economic conditions and employment policies have
led to a substantial increase in the informal economy in our country. The
informal worker is anyone who is part of a system of independent self-
employment. According to the International Labor Organization (ILO), about
60% of workers in Mexico serve on informal employment.
The aim of this research was to evaluate the QLL in the informal economy
workers in the Metropolitan Area of Guadalajara.
Voluntarily participated 507 informal workers, satisfaction with the QLL was
measured with the CVT-GOHISALO instrument adapted to workers in the
informal economy, this instrument has a reliability of 0.92 with 50 items.
As for the study population, 48% of workers were men and 52% women, the
highest percentage was between 15 and 29 years. The most common high
school education was 43%, 67% are between 1 and 15 years of working in the
informal economy and 67% work between 6 and 10 h a day, 55% of the pop-
ulation had a low level of satisfaction with their QLL, 39% a medium level and
6% a high level.
This study found that, within the conditions of workers in this sector, they
have good economic benefits, avoid paying taxes and have more flexibility with
schedules; however, they have low level of satisfaction with their QLL, they do
not have access to occupational safety and health, many works in unhealthy
conditions and are exposed to risks in the workplace.
Keywords: Quality of Labor Life Informal economy Informal workers
1 Introduction
The Quality of Labor Life (QLL), also known in the scientific field as Quality of Work
Life (QWL), is a multidimensional concept, with objective and subjective elements,
which encompasses satisfaction with the work done, achievements obtained through
work, personal fulfillment and the administration of free time among other aspects.

https://doi.org/10.1007/978-3-030-20145-6_26
Quality of Labor Life in Workers of the Informal Economy in Guadalajara 267
Likewise, it has recently become an important measure of the impact that the labor
activity has on workers, managing to arouse great interest for its study and measurement.
Although the efforts to measure the perception of QLL are not recent, it has been
studied for several decades; as it was already mentioned, a multidimensional concept
that includes both objective and subjective elements, both its definition and its eval-
uation remain a problem of considerable magnitude. However, the existence of
instruments for its measurement, that contemplate these aspects, allow to have a broad
vision of the way in which workers perceive and evaluate it.
It must also be considered that the perception of the QLL depends to a large extent
on the values and beliefs of the workers, as well as on their cultural context and
personal history, while at the same time it requires being valued in each of the
dimensions that the make up, all of them related to human needs. In it, the charac-
teristics of the work, the perception that the worker has regarding his work activity or
the satisfactions he/she achieves through his/her work, among others, receive the same
weight [1].
The satisfaction of the QLL in all types of workers, is essential to preserve the
health of them, this has been measured in various types of workers, but the results of
research that can be located in various scientific bases, are in workers of the formal
economy. In the case of workers in the informal economy, there is a generalized
identification of an economic and political situation that leads to the growth of this
productive sector, not only in Mexico but in the world, this group of workers has been
oblivious to the study of the factors that may be affected in them and therefore outside
the focus of the researchers.
The informal worker is anyone who is part of an independent self-employment
system, whose incorporation into this system may be related to different difficulties or
issues, the few possibilities of accessibility to the formal economy, lead to opting for
labor informality, which does not give the benefits of legality and social protection nor
provides economic stability for their life, thus decreasing their QLL.
Labor informality has been increasing since the late seventies, due to the high need
of the worker to have a job that provides what is necessary to survive and offers a
secure economic support. For the International Labor Organization (ILO), in 2014 [2],
Peru was the worst placed country, with more than 91% of workers without a stable
contract; where, to explain the Peruvian case, factors such as the expansion of infor-
mality are considered and that the economy is dominated by natural resources that are
not labor-intensive, according to Raymond Torres, director of the ILO’s research
department [2]. This organism considers within the informal economy both the eco-
nomic units constituted by microbusinesses that do not have the basic legal records to
operate, as well as what he calls “other modalities of informality”; that is, agriculture
(including subsistence farming), remunerated domestic service of households as well as
all varieties of work that, although linked to registered or formal economic units,
perform their work under conditions of lack of job protection [3].
The need to have a secure income, goes beyond the dignity of work, we can see it
worldwide with the proliferation of food carts (Food truck) in the United States, mini
contracts in Germany or zero-hour contracts in the United Kingdom, these are contracts
that do not guarantee the worker a stability in the work schedule, he or she has to respond
268 R. González-Baltazar et al.
to the labor demand of the company when it requests it or that there is a work available to
be done, having to be available at any time, without guarantee of a fixed job weekly.
In the case of Mexico, according to the ILO, in 1993 about 60% of workers in the
country worked in informal jobs. This may be due to the lack of a secure job oppor-
tunity; therefore, the population has resorted to informal employment to survive and
thereby contribute to family maintenance, generating an increase in national unem-
ployment rates, in addition to generating independent groups to the Mexican economy.
The informal economy is currently a constant in Mexico resulting from the increase in
labor demand due to the country’s poor economic growth [4].
According to the National Employment Survey conducted by the National Institute
of Statistics and Geography (INEGI) [5], of the workers in the informal sector in
Mexico, 44% carried out their activity in their own home; generally in self-
employment, with the help of unpaid family work sometimes, 19.8% had a micro
business with a local or vehicle in which they worked, 9% did it as itinerant workers or
in improvised positions, and 27.2% worked as employees in companies both in the
informal sector and the formal sector itself, but lacked all kinds of benefits.
Comparatively, in its 2013–2017 update, the INEGI reports that 22.7% of the Gross
Domestic Product (GDP) in Mexico comes from the informal economy and is gener-
ated by 57.1% of the employed population in conditions of informality; of this 22.7%,
11.1% corresponds to those businesses not registered, of the households dedicated to
the production of goods or services and 11.6% corresponds to jobs that still and when
they work for economic units different from those of the non-registered micro-
businesses, they do not have the protection of the legal and institutional framework,
such as social security and other social benefits. On the other hand, 77.3% of GDP
comes from the formal economy, where 42.9% of the working population is found [6].
The same notice presents a distribution of the informal economy with retail trade of
23.7%, the construction branch 15.4%, manufacturing 12.7%, agricultural sector
12.6%, followed by wholesale trade, transport, mail and storage, other services, as well
as other sectors [6] (Fig. 1).
Fig. 1. Percentage distribution of informal workers in Mexico, according to INEGI 2018

With regard to the characteristics of workers in the informal economy, different

sociodemographic and labor variables are also of interest; those that allow us to make a
broad description of the study population and relate them to the research variable;
Some of the variables that we can examine are age, sex, level of education, marital
status, working hours, shift, length of the day, type of family and drug addiction,
among others. The description of workers in the informal economy through these
variables, will give us a broad knowledge of the characteristics that can influence the
results of the research and will guide the proposals of alternative solutions to the
problem that is detected with the investigation.
The ILO agreed jointly with the Delhi Group to include in its statistics since
December 2012 the item of informal occupation as a starting point to move from
informal employment to the measurement of the informal economy and INEGI records
its statistics under the same criteria; therefore, the statistical collection that the INEGI
publishes of the “indicators of labor informality”, measures the informality under the
same integrating scheme suggested by the mentioned organisms [7].
There is the possibility that the female sex has an excessive workload because women
are responsible for the home and family, we also find minors, who due to their family
situation are forced to work for several hours in unsafe places. The level of schooling can
also be a factor of impact on the informal worker, since in many cases they cannot get a
good job or employment by the level of schooling they request in many organizations.
The QLL is a topic in which every day there is greater interest on the part of
researchers, since it can vary from high to low according to the types of workers and
has been recognized by other authors that can contribute to health, economy and
welfare of them. Satisfaction with the QLL influences the coverage of the worker’s
personal needs, among other things; however, as has already been mentioned, the
worker in the informal economy has been little considered.
Sotelo et al. [8] conducted a descriptive observational study titled “Health and work
conditions of women in the informal economy” in 2007 in Bogotá, with the objective
of determining the working and health conditions of women working in the informal
sector in Bogotá and recommend priority lines of action to prevent work-related ill-
nesses and accidents and their aftermath. Among the main results found: precarious
conditions of women in this sector of the economy, reflected accurately low educa-
tional level, income below the legal minimum wage, exposure to deteriorating working
conditions for health, with long working hours that they generated a low availability of
time for the enjoyment of leisure activities and free time. Additionally, 75% of the
women included in the study are head of the family, which predisposes them to a
greater family and social burden.
In the research called “Factors that influence the permanence of the informal
economy, peddling mode, in the city of Cumana, Sucre”, the factors that influence the
permanence of the informal economy were analyzed, having as main objective, to
determine the factors (economic, social, institutional and cultural factors) that influence
the permanence of the informal economy. Results such as that 70% of peddlers are
young people between the ages of 19 and 25 who are forced to abandon their education
and look for alternatives that allow them to solve their economic situation were found
and thus improve their living conditions and those of their family. 68% of them work
between 5 and 6 days a week, exposed to unhealthy situations, insecurity and diseases,
in addition to physical exhaustion caused by lack of rest [9].
On the other hand, Cervantes and Acharya [10] of the Autonomous University of
Nuevo Leon, prepared a study where they describe that the global economic crisis of
2008 caused serious financial imbalances for a majority of countries in the global
scope, developed or developing, inhibiting economic growth in the short and medium
term, however, labor markets registered differentiated effects. In this scenario, the
present study consisted of a comparative analysis between the formal and informal
economy in Mexico, during the period 1995–2012, to show that the country’s out-
standing macroeconomic growth has not had a positive impact on the dynamics of the
labor market and for on the contrary, a series of imbalances coexist that encourage and
provoke a greater precarization of some parameters of work, which hinders the progress
of employment. Of the results, public policy interventions are proposed, which inter-
relate economic development and that of labor markets.
Contreras, González, León, Aldrete and Hidalgo [11], in their research “Self-care of
health workers in the informal sector in Guadalajara (Mexico). A gender perspective”
aimed to explore the social meaning of self-care for women in the informal sector
(“tianguis” or peddling) with a gender perspective. The materials and methods used
were a qualitative study based on the theory of social meanings, field observation and
in-depth interviews with 6 women from the informal work of three “tianguis”, selected
by propositive sampling. Among the results they found is that women expressed a
desire to change their lives, said they feel worried, tired and stressed.
The researchers indicated that before this type of work there are feelings of hap-
piness, affection and joy. In the domain of the meaning of health they indicated that
workers are healthy, although they justify and symbolize as anger not having time to
have a medical check-up. By conclusion, the researches mention from this perspective
of gender, that the participants visualize this work as little recognized and sacrificed,
workers indicated that they are willing to receive information to be better in their
families and continue fighting in the face of all the adversities of inequality, injustices
and labor inequity.
In order to show the results of the literature review corresponding to informal work
and informal economy in Mexico between the years of 2002 to 2010, Velázquez et al.
Conducted a study. The findings suggest that the informal economy has a wide variety
of elements that make it a complex problem, whose recent emergence as a social and
economic problem has attracted attention from the sectors involved [12].
Many studies refer to the poor quality of life that informal employment provides,
that is why in Latin America and the Caribbean, the economically active population
will be more unprotected, increasing the number of people in unemployment, the
informal economy, poverty, and social exclusion, covering more than two thirds of the
economically active population (EAP). For these people it is necessary to find new
forms of organization in the places of life, in order to give them the power to enable
them to act and be heard and solve their own living conditions, work and improve their
quality of life.
Martínez Luis in 2018 [13], talks about the deficient public services of social
protection in Mexico and the low levels of labor productivity, which forces formal
sector workers to migrate towards informality to generate higher incomes and thus
improve the level and quality of life of large sectors of the population; since comparing
the income of workers in the formal sector and the informal sector, it is questioned
whether the informal sector is only an aid for the unemployed population and that
informal workers are poorly paid.
The QLL, is defined for its evaluation as a “multidimensional concept that is
integrated when the worker, through employment and under his/her own perception,
sees the following personal needs covered: Institutional work support, Job reliability,
Integration to the job and Satisfaction with it, identifying the well-being obtained
through the job and the personal development achieved, as well as the administration of
their free time” [14].
The instrument used in this study is an adaptation of the CVT-GOHISALO instru-
ment, which evaluates the perception with the QLL in seven dimensions, namely: Work
support, Job reliability, Integration to the job, Satisfaction with the work, Well-being
obtained through the job, Personal development achieved trough the work and Admin-
istration of their free time. The instrument has 50 items divided into seven dimensions,
where the figure of the formal institution of the original instrument disappears [14].
The dimension Work support, represents the elements of the job that are provided
by the group where the worker is inserted, as a structure that gives shape and supports
employment, that of Job reliability is defined as the characteristics of employment that
are related to the conditions that provide the worker with firmness in their relationship
with work and include satisfaction for the way in which the work procedures, income
or wages are designed, the inputs for the realization of the work, the contractual rights
of the workers, workers and the growth of their individual capacities through training.
On the other hand, the dimension Integration to the job, is defined for this
instrument as the insertion of the worker in the work as one of its parts, in total
correspondence; and includes aspects of relevance, motivation and work environment.
The Satisfaction with the work dimension, is understood as the overall feeling of liking
or liking that the worker has regarding his employment. As for Well-being obtained
through the job, it is understood as the mental or psychological state of satisfaction of
needs related to the way of life, including the enjoyment of goods and riches achieved
through work activity.
With respect to the last two dimensions of the instrument, the Personal develop-
ment achieved through the work is defined as the process of increasing personal aspects
of the worker related to his/her work activity and that of Administration of their free
time is defined as the way in which the worker enjoys life in the schedule in which no
work activities are carried out [14].
According to Herrera and Cassals [15], work is the most important activity for the
human being, since he/she, individually or collectively, makes a series of contributions
such as effort, time, aptitudes and abilities, among others, waiting for certain rewards
that contribute to meet their needs, whether economic, material, psychological or
social, among others, so it is essential to know the satisfaction with the QLL of
workers. The work activity is the main contributor to raise the quality of life of people
and when the individual has the possibility to perform a job that corresponds to his/her
ability and vocation and identifies elements in it for personal growth, the level of your
QLL will be greater [16] for this reason the importance of focusing on this large group
of workers, which have remained invisible to many researchers.
2 Aim
The aim of this research was to evaluate the perception of satisfaction with the Quality of
Work Life in workers of the informal economy in the Metropolitan Zone of Guadalajara.
3 Methodology
People who work and who belong to the sector of workers in the informal economy
were selected according to the ILO and INEGI definition, in the Metropolitan Zone of
Guadalajara (MZG) of the State of Jalisco, which is made up of around 3,869,678
people, according to INEGI data [5].
Volunteers participated 507 MZG workers located in different sectors of the same.
The inclusion criteria were, workers who were developing any work activity considered
within the informal economy, that was older than 15 years and of any gender, in all
geographic sectors of the MZG.
Of those people who were in established premises were excluded and incomplete
questionnaires were eliminated.
To measure the perception of satisfaction with their CVL, the CVT-GOHISALO-
TEI instrument was used, which is an adaptation of the CVT-GOHISALO instrument
of 2009 for workers in the informal economy. The original instrument has 74 items,
validation of content, criterion and construct, the reliability with Cronbach’s Alpha is
0.9527 [14]; The adapted instrument, CVT-GOHISALO-TEI, consists of 50 items,
distributed in seven dimensions, namely: Work support, Job reliability, Integration to
the job, Satisfaction with the work, Well-being obtained through the job, Personal
development achieved through the work and Administration of their free time. It has
constructed validation and a reliability with Cronbach’s Alpha of 0.92, is in the process
of publication and registration with the National Copyright Institute in Mexico.
Based on the declaration of Helsinki and the General Health Law, this research was
considered without risk, so that participants were given informed consent and informed
signatures were not requested from the participants, the confidentiality of the data was
guaranteed collected, respecting different cultures and social customs.
The well-being of the subjects was carefully cared for throughout their participa-
tion, giving them the right to decide whether or not the investigation agrees with their
interests or conveniences, and to withdraw without sanctions of any kind.
This research was self-financed by the work team integrated by the consolidated
Academic Body “Health and Work” 380 of the University of Guadalajara and had the
collaboration of summer students for the collection of data.
The information collected was captured and organized by variables. Frequency
measures were applied to sociodemographic and labor variables as well as to the
measurement of QLL, saving relational analysis for future publications.
4 Results
Regarding the studied population (507), 48% of the workers were men and 52% were
women, with an age range of 15 to 80 years, where the highest percentage (50. 9) was
between 15 and 29 years old. The most frequent schooling was high school level with
43%, followed by junior high school with 29%, 67% have between 1 and 15 years of
working in the informal economy and 67% work between 6 and 10 h a day.
According to the level of studies by gender, it can be observed that, of the total of
participants, 43% have a complete high school level, making this level of study the
most frequent among informal workers; of these, 48% male and 54% female. Informal
workers with junior high school level are followed by 28.6% and 9.6% with a pro-
fessional degree.
Regarding the time of years in working in the activity, the highest frequency
obtained is from 1–15 years working, followed by those less than a year, finding in
minimum quantities, people with more than 30 years of work in the informal sector.
Concerning the duration in hours of the working day, a greater frequency was
found in the day of 6-10 h (67.1%), followed by 29.5% working between 11 and 16 h.
Incomes were another important aspect asked, resulting that 82.9% get up to
2,499.00 pesos of weekly income, followed by the 13.7% who get up to 4,999.00 pesos
a week in their activity.
The work activity within the informal branch found in the study population was
very diverse, with traders predominating with 33.3%, followed by food vendors with
19.4%, employees with 14.1%, footwear vendors 6.3%, vendors of fruits and vegeta-
bles 5.5%, vendors of flowers and plants 4.2%, waiters 2.5%, herbalists 2.3%, dis-
tributors 2.1% and in smaller percentages, grouped in others, we have shoe shiners,
masons, stylists, caretakers and caregivers of sick people (Fig. 2).
Fig. 2. Percentage of type of informal occupation of the population studied

The aim of the researched, which was to measure the perception of satisfaction with
the quality of labor life, was covered with the presentation of a scale, qualifying the
QLL in general, without subdividing by dimensions, as low, medium and high,
resulting in the 55% of the population had a low level of satisfaction with their CVL,
39% a medium level and 6% a high level (Fig. 3).
Fig. 3. Percentage of satisfaction of QLL by level
5 Discussion
There is a limited number of studies in workers in the informal economy, the largest
amount of information comes from statistical data of government agencies, so neither
were instruments aimed at informal workers that measure their QLL, which makes
comparison with other jobs research.
Regarding the age of the workers in the present investigation, only the Mata and
Vásquez study [9] carried out in Sucre, mentions that these are young people, which
coincides with our study where the highest percentage of workers was found between
15 and 29 years.
The other studies do not mention data about schooling, but it is noteworthy that
both the study by Sotelo and collaborators of 2011 [8] conducted in Bogotá and the one
by Contreras in 2014 [11] carried out in Mexico mention the situation of precariousness
of women, an issue that was perceived in our study, manifested by the interviewers, but
was not part of the survey, therefore, it cannot be discussed, although it has been
evident.
It agrees with Velázquez and collaborators [12], who in 2015 mention that the
informal economy contains elements that make it a complex and recent problem and
that therefore it is identified as a social and economic problem that provokes the
attention of the sectors involved.
Of the studies mentioned above, the only one that includes an analysis of the
income, is Sotelo et al. [8] who says it is below the legal minimum wage, contrary to
our study that mentions weekly incomes of approximately 2,500.00 pesos, the differ-
ence could be in the years between the two studies, but coincides with the exposure to
deteriorating working conditions for health, with long working hours that generated a
low availability of time for the enjoyment of leisure activities and free time.
This author also mentions that workers in the informal economy have a low edu-
cational level, a situation contrary to our study, where the highest percentage was in
high school.
Regarding the most prevalent informal activities, INEGI in 2018 [6] reports retail
trade in the first place and construction second, while in our study construction was
included in the other sector, but it coincides by presenting first to retail traders.
Regarding the QLL, this research team did not find any background information on
this variable in the informal economy, so it is not possible to make comparisons.
6 Conclusions
In this study it was determined that in general terms, the conditions of this sector of
workers, despite not being precarious, because they obtain economic benefits, evade
the payment of taxes and have greater flexibility with the schedules; they have a low
level of satisfaction with their CVL, they do not have access to occupational health and
safety services, many works in unhealthy conditions and are exposed to risks in their
workplace.
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Social and Occupational Factors
of Comfort, Risk Assessment and Pain
Reducing the Risk of Falls by 78% with a New
Generation of Slip Resistant Winter Footwear
Z. S. Bagheri1,2(&), J. Beltran1, P. Holyoke3, G. Sole3,

K. Hutchinson3, and T. Dutta2,4
1
University of Ontario Institute of Technology (UOIT), Toronto, Canada
Shaghayegh.Bagheri@uoit.ca, jdiazbel@uoguelph.ca
2
Toronto Rehabilitation Institute, Toronto, Canada
3
Saint Elizabeth Health Care, Toronto, Canada
{paulholyoke,jocodelsole,kennethhutchinson}@sehc.com
4
The Institute of Biomaterials and Biomedical Engineering,
University of Toronto, Toronto, Canada
tilak.dutta@uhn.ca
Abstract. Personal Support Workers (PSWs) are at particular risk in slippery

condition. One-hundred-and-ten PSWs were recruited and asked to report on
exposure to icy surfaces, slips and falls in weekly online surveys. Fifty partic-
ipants (the intervention group) were provided one of two casual winter footwear
models that performed the best in our lab-based testing. The remaining sixty
participants (the control group) wore their own footwear for the eight-week
period. Results showed that PSWs wearing our recommended footwear reported
a 68% lower slip rates (control = 1.285, intervention = 0.413, p < 0.05) and
78% lower fall rate (control = 0.0859, intervention = 0.01812, p < 0.05) com-
pared to workers wearing their own footwear. Findings demonstrate there are
clear benefits of injury prevention and sizable net cost savings that would result
from encouraging/requiring slip resistant winter footwear use for PSWs. The
benefits would be similar in any industry where workers are exposed to outdoor
winter conditions.
Keywords: Injury prevention Personal Support Workers

Slip resistant footwear Slip Fall
1 Introduction
Slip-and-fall incidents are the leading cause of occupational injuries in worker groups
exposed to outdoor winter conditions [1, 2]. Our team at Toronto Rehabilitation
Institute-University Health Network (TRI-UHN) worked alongside Saint Elizabeth
Health (SE) occupational health team to evaluate two types of slip-resistant winter
footwear in winter for men and women [3, 4].
On-going work at TRI-UHN has shown that a new generation of winter footwear
greatly outperforms most existing winter footwear in terms of slip resistance. These
findings suggest that many fall-related injuries may be preventable with this better
footwear. We hypothesize that many fall-related injuries may be preventable with this

https://doi.org/10.1007/978-3-030-20145-6_27
280 Z. S. Bagheri et al.
better footwear [5, 6]. This study reports on a field study of slip resistant footwear by
PSWs employed by SE Health (SE). The goal of this work is to determine if slip and/or
fall frequency can be reduced in an intervention group (PSWs wearing the best slip
resistant footwear available) compared to a control group (PSWs wearing their own
footwear).
During fall 2016, we surveyed 677 PSWs about their needs and preferences for
winter footwear. Based on survey results, a representative list of 40 most popular types
of footwear that PSWs wear normally on client visits was created [3]. All footwear was
tested to evaluate their slip resistance using our recently developed Maximum
Achievable Angle (MAA) test [1]. This test measures the steepest incline covered in ice
that participants can walk up and down without experiencing a slip. A score of 7° is
considered acceptable for safe use in icy weather since slopes up to 7° are permitted in
the built environment based on existing standards. Of the 40 types of footwear tested,
only six achieved an MAA score above 7°. Since winter 2017, the work carried out at
TRI-UHN using the Maximum Achievable Angle (MAA) test has revealed that there
are few winter footwear models demonstrating better slip resistant properties. Using the
MAA test database, we selected Sperry Women’s Powder Valley boots and Windriver
Men’s Bivy boots for field evaluation as they displayed good slip resistance properties
(Fig. 1).
Fig. 1. Women in the group receiving new footwear get the Sperry Powder Valley boots (left)
and Men receive the Windriver Bivy boots (right)
2 Methodology
PSWs across Ontario were initially contacted by the SE Health and occupational health
and safety team and 100 of them agreed to participate and were recruited for the field
evaluation. Participants were divided into two groups, intervention and control groups.
The number of participants in the control group was later increased in the control group
from 50 to 60. This is because there was considerable interest from PSWs and we
anticipated a higher attrition rate in the control group as compared to the intervention
group. By increasing the control group, we were able to get a more even response rate
across both groups. PSWs were asked to wear slip-resistant boots provided by TRI
(intervention group) or winter footwear of their choice (control group) and answer
weekly questionnaires regarding their perceptions of the footwear as well as their
Reducing the Risk of Falls by 78% with a New Generation 281
experience with slips-and-falls incidents throughout the evaluation period. Weekly

online surveys sent to both groups for 8 weeks in January and February asked these key
questions: Did you walk on any icy surfaces this week? Did you slip on any icy
surfaces this week? If yes, how many times did you slip? Did you fall on any icy
surfaces this week? If yes, how many times did you fall?
3 Results
3.1 Exposure to Icy Surfaces
Table 1 summarizes exposure to the icy surfaces for both control and intervention groups
over six-week period. The average number of participants reported exposure to icy
surfaces over the course of 6-week survey period in both control and intervention groups
were not statistically different (control = 40.75 ± 8.92, intervention = 34.5 ± 10.71,
p = 0.053). This highlights the point that effect of environmental-related conditions (i.e.
walking on different surfaces) was minimized in the results of current report. So, any
difference in the number of reported slips-and-falls incidents by control and intervention
group can be related to the types of footwear worn by the groups not environmental-
related conditions.
Table 1. .
Week 1 Week 2 Week 3 Week 4 Week 5 Week 6 Week 7 Week 8
Control 47 37 51 44 45 47 33 22
Intervention 37 46 42 33 42 31 36 9
3.2 Number of Slips-and-Falls Incidents

Figures 2 and 3 show the number of slips and falls incidents for control and inter-
vention groups. It is best to compare fall and slip rates for each group to account for
small differences in response rates and exposure to icy surfaces between the two
groups. The slips and falls rates are calculated by dividing the total number of reported
slips and falls incidents to the number of exposures to icy surfaces. Figures 4 and 5
show slips and falls rate for control and intervention groups over the course of six-week
survey period. As it is evident from the graph slip and fall rate are significantly higher
in the control group as compared to the intervention group. The results of current
survey showed a substantial difference in the slip (control = 1.285, interven-
tion = 0.413, p < 0.05) and fall rate (control = 0.0859, intervention = 0.01812,
p < 0.05) between control and intervention group. Our results showed that PSWs
wearing our recommended footwear reported a 68% lower slip rates (control = 1.285,
intervention = 0.413, p < 0.05) and 78% lower fall rate (control = 0.0859, interven-
tion = 0.01812, p < 0.05) compared to workers wearing their own footwear over an
eight-week period in the winter of 2018.
Fig. 2. Number of slip incidents reported in intervention and control groups
Fig. 3. Number of fall incidents reported in intervention and control groups

3.3 Slips and Falls Rate Based on Exposure to Icy Surfaces
Fig. 4. Slip rate on icy surfaces for control and intervention groups
Fig. 5. Fall rate on icy surfaces for control and intervention groups
4 Discussion
Slip-resistance of footwear plays an important role in the prevention of slips and falls
by providing traction to prevent balance loss [7, 8]. The results of current study
demonstrated that the rate of slips significantly dropped for the PSWs wearing either
Sperry or Windriver footwear compared to the ones wearing their own footwear. This
was expected as both of these footwear models passed our MAA testing method that
measures the steepest incline, covered in ice, which participants can walk up and down
without experiencing a slip. This footwear testing was performed in WinterLab which
is part of the Challenging Environment Assessment Labs (CEAL) at TRI-UHN.
WinterLab is capable of creating winter conditions, including cold air temperatures,
snow- and ice-covered surfaces, which can be tilted up to 15° to create slopes. The
footwear that achieves or surpasses a rating greater than 7° receives a positive rec-
ommendation on our review website. This 7° cut-off was based on the maximum
allowable slope for a curb ramp as based on existing accessibility guidelines for the
built environment. The Sperry and Windriver footwear that were evaluated in this study
are among the recommended footwear on our website (www.ratemytreads.com).
A larger MAA indicates that the footwear is safer on all surfaces. We expected that
footwear with appropriate slip-resistant properties reduce the risk of slip-and-fall
incidents on icy conditions. This was confirmed with the results of current study. The
Sperry and Windriver footwear have an MAA score of 9 and 10, thus they were
recommended on our review website. Based on our current results, the slips and falls
rates dropped dramatically for participants wearing either Sperry or Windriver footwear
as opposed to the ones wearing their own footwear. This was because the outsoles of
the footwear were made of surface-textured composites with microscopic fibers that are
protruding out from the surface. The microscopic fiber can penetrate to the ice substrate
underneath and provide traction with mechanical interlocking [9–11].
It is important to note that although these footwear models can provide safe winter
mobility for PSWs, they are relatively expensive (*$200), which makes them out of
reach for many PSWs. Possible ways to encourage PSWs to purchase safe footwear
include bulk buying, a subsidy from employers, and etc. We expect there would also be
demand for a slip resistant overshoe, which could be manufactured at a much lower
price. This option may be particularly attractive for PSWs since they currently carry an
extra pair of footwear that they change into when they arrive at their clients’ homes.
5 Conclusion
This intervention study compared the rates of slip-and-fall incidents using slip-resistant
footwear (Sperry and Windriver) in the filed over an eight-week period in January–
February 2018. The slip-resistant footwear enhanced traction on ice and significantly
decreased the risk of slip and fall incidents as compared to control participants who
wore their own footwear. We recommend PSWs to wear slip resistant winter footwear
during the winter season for safe winter mobility. The benefits would likely be similar
in any industry where workers are exposed to outdoor winter conditions.
References
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age and from a preventive perspective. Appl. Ergon. 2, 149–153 (2001)
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Selecting slip-resistant footwear for personal support workers to use outdoor in winter. Work
(2019, in press)
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footwear used on icy surfaces for outdoor municipal workers. Work (2019, in press)
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9. Anwer, A., Bagheri, Z.S., Fernie, G., Dutta, T., Naguib, H.E.: Evolution of the coefficient of
friction with surface wear for advanced surface textured composites. Adv. Mater. Interfaces
4(6), 1600983 (2017)
10. Bagheri, Z.S., Anwer, A.A., Fernie, G., Naguib, H.E., Dutta, T.: Ice-friction characterization
of multifunctional surface-textured hybrid composite materials using Taguchi design of
experiment. Wear (2019, in press)
11. Bagheri, Z.S., Anwer, A.A., Fernie, G., Naguib, H.E., Dutta, T. (eds.): Improving slip
resistance on ice: surface-textured composite materials for slip-resistant footwear. In:
Proceedings of the 20th Congress of the International Ergonomics Association (IEA 2018)
(2018)
Risk Factors Identification for Metal Washing
Process Based on QOC Matrix the Workers’
Voice and Ergonomic Mapping
Brenda Trujillo-Sandoval
and Martha Roselia Contreras-Valenzuela(&)
Chemistry Sciences and Engineering College,

Autonomous University of Morelos State,
Av. Universidad 1001 Col Chamilpa, CP 62209 Cuernavaca, Morelos, México
brent.sndoval@gmail.com, marthacv@uaem.mx
Abstract. In order to determine ergonomic risk factors to be abated during an

ergonomic intervention in a metal washing process, two tools were imple-
mented. The questionnaires from the QOC Matrix the workers’ voice was used
to build a relationship diagram used to develop an ergonomic mapping. The
Ergonomic risk map resulted identified the relationship, between workplace
design and non-ergonomic content task. The method used to determine the risk
factors was the follow: (a) define the non-ergonomic parameters inside work
areas and task content using QOC results, (b) measure the results to categorise
them in an ergonomic risk map, (c) using the ergonomic risk map a diagnosis
was to carry out, (d) a redesign was proposed to abate non-ergonomic param-
eters. The activities developed for filling and discharging the washing machine
included handling, lifting and carrying a plastic bucket of 40 kg above the
shoulders, with an exerting force of 250 N in each lifting, for 120 times. It
represented the main ergonomic problem. During the intervention, a new
redesign for the working place was proposed; the improving phase incorporated
two automatic sulfuric acid dilution system, two automatic mixers and an
automatic production line for filling and discharging the washing machine.
Consequently, workers change their character of mixers and loaders to the
operators of an automatic control panel.
Keywords: Ergonomics Process mapping Risk factors

Systems engineering
1 Introduction
Ergonomics is a scientific multidisciplinary discipline; it studies the effect of sys-

tem elements interacting with human work. It provides a set of techniques, which aim,
is the adequacy between the work system and people, to optimise their well-being and
productivity [1]. Its aim is to improve the design of work that avoid worker exhaustion
and minimise ergonomic risks that result in occupational diseases, seeking to promote
human productivity [2]. According to Casillas and Vargas [3], ergonomics studies
morphological, physiological, psychological and social aspects of work and its

https://doi.org/10.1007/978-3-030-20145-6_28
Risk Factors Identification for Metal Washing Process 287
bases are disciplines such as medicine, physical anthropology, industry psychology,

engineering, biomechanics, anthropometry, as well as applied physics and mechanics
among many others. From an occupational point of view, ergonomics cen-
tralised work design to improve the relationship between: (a) workers and work
environment, (b) task developed and the work area, (c) tasks developed and tools used,
(d) task developed and products and materials handled, and (e) work organisation.
When some of these relationships are poorly designed, the people who interact with
them face risks and hazards that will affect their health; the musculoskeletal system in
particular. A bad design work generates work-related illnesses, such as back pain,
carpal tunnel syndrome, painful shoulder, Quervain syndrome, among others. The
ergonomic risks that a good design has to avoid are:
• Exposure to awkward postures: Those in which, a person leaves the natural position
of the body. For example, stretches to reach, release materials or crouches to
activate devices.
• Manual material handling: related to lift or lift down objects, where 3 kg is the
minimum weight to consider risk when lifting or lowering objects repetitively and
25 the maximum weight to be handled by highly trained men [4].
• Repetitive movements are actions repeated throughout the working day and are
potentially injurious [5]; they are measured by counting their frequency. For
example, the number of left mouse button clicks, lift 3 kg packages all day, or the
number of times the wrist is twisted during the development a screwing task.
• Force exerted during the execution of an activity, for example, the muscular effort
made by hand, arm and shoulder when using tweezers or a screwdriver.
When there are ergonomic risks present in the workplace, it is necessary redesign
the work system through an ergonomic intervention. It is the activity of diagnosis,
evaluation, analysis and elimination of immediate and potential risks and hazards.
A widely used definition refers to “the activity of the job and the task analysis and
diagnosis that leads to a proposal for improvement from the ergonomic point of view”
[6]. The elements comprise by an intervention are:
(a) Describe the established work method, accounting for the number of repetitive
movements, including application of force and lifting loads.
(b) Identify process areas, equipment, tools and work methods that generate risks to
the musculoskeletal system as the priority.
(c) Developing a diagnosis for determining the immediate level and potential risk.
(d) Conceptualise a proposal work redesign as improvement.
Considering the above, the current study proposes an ergonomic intervention with
the aim to eliminate ergonomic risks factors present during the workers performed the
task by hand. Through of the ergonomic risk map, the identification of process areas,
equipment, tools and work methods that generate risks to the musculoskeletal system
was determined and reduced.
288 B. Trujillo-Sandoval and M. R. Contreras-Valenzuela
2 Methods and Tools

2.1 QOC Matrix the Workers’ Voice
The QOC Matrix - the workers’ voice was to develop on the logics of QOC notation;
Questions, Options and Criteria [7]. Its criteria and options are to base on ergonomic
guiding principles by ISO International Standards and National Institute for Occupa-
tional Safety and Health publications, quality concepts like the Voice of Cus-
tomer VOC (considering the workers’ voice as a voice of customer), philosophy of
quality 6’s, among others. The matrix helps people to use ergonomic information for
redesign workplaces and tasks [8] as well as for solving problems and make decisions.
The QOC notation was used to organise the information as follows: (a) Questions were
developed for evaluate the work and the workplace to respect the standards; (b) Options
represent a group of answers categorised by ergonomic risk, in this section, the
workers’ voice is stored; (c) The Criterion are the ergonomic standards. The results are
organised by non-ergonomic causes, relationships with musculoskeletal disorders
developed.
2.2 Ergonomic Mapping

An ergonomic mapping is an exhaustive work place evaluation [9]. It objective is to
identify the links, among task performed by workers and it non-ergonomic content. The
map added evidence of unsafe and unhealthy areas. It parameters are anthropometric
relationships vs workplace, time of exposition, maximal load manipulated according
with the task, and repetitiveness by shift among others are considered as criteria.
3 Case Study
The metal washing process consists of four steps. First: Inside three 200 L plastic
barrels the worker mixed by hand different components and acids to obtain three
different mixes. This activity involves manual material handling of a plastic bucket of
10 L, powder detergent bags of 20 kg and Acid barrels of 50 kg weight. The com-
ponents were aggregated by hand and the mixture was heated with a hose that provided
steam. The task is showed on Table 1. The second step was to load the washing
machine using a plastic bucket of 25 kg, a total of 60 times by shift were required to fill
the washing tank. And the third step consisted of add acid solution to the washing tank
using a plastic bucket of 20 L a total of 90 times by shift were required. Finally, the
material was to remove from the washing tank using the same plastic bucket of 25 kg, a
total of 60–70 times by shift, depending of the height of the worker. The higher the
repetitions the lower.
Table 1. Metal wash procedure by worker.
Task description Load Repetition

manipulated by shift
Fill three barrels with hot water 6 times
Mixture sulphuric acid slowly using a 6 t i me s

plastic bucket of 50L
Mixture powdered detergent with wa- 6 times

ter, heating the mixture with steam
Load the washing tank with material 40 kg 60 times

using a plastic bucket.
Fill with the sulphuric acid solution the 90 times

washing tank filled with a batch of
metal pieces using a plastic bucket of
20L
Rinsing the material with hot water 12 times
Remove the material from the washing 40 kg 60 times

tank using a plastic bucket.
4 Methodology
The method used for implementing Ergonomic Intervention was to apply as follows:
(a) Define the non-ergonomic parameters and task content inside work areas using
QOC results [10].
(b) Categorise the risk factors in an ergonomic risk map [9].
(c) Develop a diagnosis using the ergonomic risk map.
(d) Improve the work area to abate non-ergonomic parameters.
5 Results and Discussions
5.1 Define the Non-ergonomic Parameters Inside Work Areas

The results of the questionnaire applied and the observation of the 22 workers during
the shift have revealed that, nine causes were the main work system elements did not
meet workers’ requirements to develop their task in safety manner. It was found nine
causes, three main relationships, and five effects four MSDs developed and Heat stress
(see Fig. 1). During the analysis the repetitiveness of a same cycle from 60 to 90 times
in a shift of 7.5 h linked with hand grip repetitiveness and handling, lift and carry
plastic bucket, powder detergent bags and acid barrels combined with awkward pos-
tures and lack recovery time cause 90% of MSDs developed by workers.
Fig. 1. Relationship diagram resulted from QOC Matrix the workers’ voice.
The work place design allows the exposure to a hot environment and the mixture of
acid gases causing to workers heat stress.
5.2 Categorise the Risk Factors in an Ergonomic Risk Map and Develop
a Diagnosis
As results of the relationship diagram from the QOC Matrix the workers’ voice, an
ergonomic mapping was developed. The map represented the workplace design and the
non-ergonomic work system elements (see Fig. 2). In the inputs, were represented by
the causes and the relationships; the workplace and task current designs that are causing
injuries to workers were added. Moreover, causes defined in the relationship diagram, a
specific task element was observed (which was not considered by workers’ complains).
The activities developed for filling and discharging the washing machine. The activities
include repetitiveness of handling, lifting and carrying a plastic bucket of 40 kg above
the shoulders 120 times. It represented an accumulated load of 4800 kg by worker
every shift. Thus, the activities for filling and emptying the washing machine were
represented in the process section. Finally, the outputs were represented by the effects,
causes and consequences to lead work-related injuries and illness developed by
workers. The upper limbs were the body segments more affected due to the repetitive
movements, the shoulders when carrying buckets and the back when the worker
handling, lifting materials in general. The resulting ergonomic risk map is showed in
Fig. 2. it is important to highlight the $30,450 USD that represents the cost of non-
ergonomic workplace design.
Fig. 2. Ergonomic Risk Mapping developed for a metal washing area. Inputs: a list of risks that
had been identified. It includes only the workstation and task design. Process identifies the
repetitiveness of handling, lifting and carrying a plastic bucket of 40 kg above the shoulders, the
workstation layout with a representation of machinery used for developing tasks; the risk level
identification with a representation of body segments affected (red colour-high level). In the
solution mixing area the head, upper limbs and trunk were identified in red colour, meanwhile in
washing machine area only upper limbs and trunk were identified in red colour. Outputs are
represented by an illustration that represents effects, causes and consequences to lead work
related injuries and illness developed by workers. The cost of non-ergonomics determines the
cost by year caused by temporary inabilities and workers replacements.
5.3 Improve the Work Area to Abate Non-ergonomic Parameters

In order to eliminate the ergonomic risk factors a redesign of working area was pro-
posed accordingly with follow:
• The activities of filling three barrels with hot water and mixture sulphuric acid and
the anti-tarnish using a plastic bucket of 10 L six times by shift were replaced by
two automatic sulfuric acid dilution systems, which distribute directly the acid
mixtures to washing machines. Thus, workers change their character of mixers to
the operators of an automatic control panel. A partial process diagram flow from
proposed automatic process is showed in Fig. 3.
• Activities of mixing powdered detergent and degreaser with water, heating the
mixture with steam were replaced by two automatic mixers which heat the mixture
with steam automatically.
• Activities developed for filling and discharging the washing machine were replaced
by an automatic production line. It eliminate the accumulated load manipulate by
worker and the exposition to acid gases and hot environment.
Fig. 3. Partial process diagram flow from proposed automatic process
6 Conclusions
In the present study two tools were implemented to determine the ergonomic risk
factors to be abated during an ergonomic intervention. The questionnaires from the
QOC Matrix the workers’ voice was used to build a relationship diagram used to
develop an ergonomic mapping. The Ergonomic risk map resulted identified the
relationship, between workplace design and non-ergonomic content task. The activities
developed for filling and discharging the washing machine. The activities of handling,
lifting and carrying a plastic bucket of 40 kg above the shoulders, with an exerting
force of 250 N in each lifting, for 120 times, represented the main ergonomic problem.
During the intervention, a new redesign for the working place was proposed; the
improving phase incorporated two automatic sulfuric acid dilution systems, which
distribute directly the acid mixtures to washing machines, two automatic mixers which
heat the mixture with steam automatically and an automatic production line for filling
and discharging the washing machine. Consequently, workers change their character of
mixers and loaders to the operators of an automatic control panel. Thus, new studies
about training requirements, the impact of automation and psychosocial factors derivate
of lack workers’ scholar preparations are necessary.
Acknowledgments. Thank you for the enthusiastic participation of employees and students in
the present study.
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No. 5. Federal Institute for Occupational Safety and Health, France (2001). https://apps.who.
int/iris/bitstream/handle/10665/42803/9243590537.pdf?sequence=1&isAllowed=y
5. ISO 11228-3:2007. Ergonomics – Manual handling – Part 3: Handling of low loads at high
frequency. International Standard Organization, Switzerland (2007)
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(2010)
7. Lozano-Ramos, E., Contreras-Valenzuela, M.: Development of the QOC Matrix – the
worker’s voice (Part 1). Advances in social and organizational factors. In: Proceedings of the
5th International Conference Applied Human Factors and Ergonomics AHFE, pp. 433–440,
Poland (2014)
8. Miranda-Sánchez, J., Contreras-Valenzuela, M.: Development of the QOC Matrix – the
worker´s voice (Part 2) procedia manufacturing. In: Proceedings of the 6th International
Conference Applied Human Factors and Ergonomics AHFE, vol. 3, issue C, USA (2015)
9. Contreras-Valenzuela, M.R., Guzman-Clemente, A.D., Cuenca-Jimenez, F.: Methodology
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A.E., Cuenca-Jimenez, F.: How poor workstation design causes musculoskeletal disorders:
research from QOC matrix the workers’ voice. In: Parker, C. (ed.) Ergonomics - New
Developments for Global Change, IntechOpen (2018). http://dx.doi.org/10.5772/intechopen.
80303
Ergonomics During the Construction
of the Stations and the Drilling of the Tunnel
in the Metro of the City of Quito
Esteban Carrera1(&), Oswaldo Jara1, Pablo Dávila1,

Fanny Ballesteros2, and Pablo Suasnavas1
1
Universidad Internacional Sek, Quito, Ecuador
{esteban.carrera,oswaldo.jara,pablo.davila,
pablo.suasnavas}@uisek.edu.ec
2
Universidad San Francisco de Quito, Quito, Ecuador
fannyballesteros@outlook.com
Abstract. The city of Quito capital of Ecuador has a heavy traffic problem, due
to its geography that prevents the city from growing, in all the geographical
coordinates and can only grow towards the North and the South, reason that
extends the times of the trips of citizens within the urban perimeter and is the
reason why it was decided to build, the first underground train of the city and the
country, work of emblematic civil engineering, which until now is the one of
greatest technical difficulty developed in Ecuador, the present The article is
responsible for characterizing the ergonomic hazards encountered during the
construction of the fifteen stations, as well as the drilling of the twenty-two
kilometers of the Quito metro tunnel, using ISO/TR 12295 as an evaluation
criterion: 2014, and digitizing the results obtained within computer graphics
from a spreadsheet, to facilitate the initial estimation of the Ergonomics aspects
encountered throughout the execution of the aforementioned works, this infor-
mation helps as a baseline for the selection of critical tasks and the subsequent
evaluation of ergonomic hazards, the analysis of this work allows us to have an
approximation of the ergonomic risks found during the execution of the initial
works that concluded in October 2018, as well as the prevention measures used
to reduce the health effects of workers.
Keywords: ISO/TR 12295: 2014 Ergonomics Drilling tunnel Risk

Ecuador
1 Introduction
Nowadays, the transportation of the city of Quito is one of the most important problems
of the city and a challenge for the technicians that seek to solve the almost collapsed
mobility of the city, in which the causes of the problem are mainly identified to four
variables, which continuously increase vehicular traffic: the increase in the number of
vehicles that increase each year and the scarce scrapping of old vehicles, the scarce
supply of a public transport service, efficient and safe, the lack of a public policy
oriented To manage the ordering of traffic, in view of this it was decided to start the

https://doi.org/10.1007/978-3-030-20145-6_29
Ergonomics During the Construction of the Stations 295
construction of the Quito metro, which began in 2016 and is estimated to be completed
by the end of 2019, a political and public decision that has become the greatest
challenge in the history of engineering in the city and the country, due to the technical
complexity of drilling a tunnel in the irregular geography of Quito crossed by slopes,
filled ravines and elevations throughout the city, so it was an achievement for the
technicians of Ecuador, the construction began Quito’s metro, since the beginning of
the mega project was thought to maintain the highest standards of quality, safety,
environment and adequate community relations, framed within the corporate social
responsibility, as quickly as the work started, different ergonomic dangers were iden-
tified such as: manual handling of loads, forced postures, application of forces, pushing
and dragging loads as of repetitive movements, to which the workers who were
responsible for the execution of the work were exposed, it is for this reason that it is
decided to carry out the initial and permanent evaluation of the ergonomic dangers,
using the criterion included in ISO/TR 12295 : 2014, the drilling and construction
phases of the tunnel with its 22 km of extension, were contemplated in the study, as
well as the construction of the 15 stations that are located throughout the city of Quito
and contemplate in north-south and south-north route in a single tunnel with a diameter
of 9 meters; It should be noted that the number of workers fluctuated between 5,000
and 1,000 people according to the stage of the work.
It t is a retrospective study that analyzes the results obtained in the survey in the field in
the course of the tunnel as well as in the stations, by means of the identification and
evaluation criterion collected in: ISO/TR 12295: 2014 Ergonomics. Application doc-
ument for ISO standards on manual handling (ISO 11228-1, ISO 11228-2 and ISO
11228-3) and working postures (ISO 11226), the work was done after 15 months from
April 2016.
It is a first level support with the family of the previous ISO standard for the
evaluation of risks due to the handling of materials and forced work postures. It is a
simple guide of practical use, which offers a simple tool that can be used in industries,
regardless of their size, and provides an update to the technical standards that support it
[1].
It is a system that allows us to know the biomechanical response of the body during
work, taking into account the own organization of the industry, the requirement that
each task requires and the execution time of the same.
ISO TR 12295: 2014 proposes to analyze working conditions independently in
each job position. The aim is to analyze each of the ergonomic risk factors, taking into
account the work organization itself, how long it is carried out and the presence or
absence of recovery periods or rotations, and, in the case of rotations, with which other
tasks are carried out [2].
The standard is a guiding document, divided into three parts, which will help in the
application of previous norms. It proposes three phases of application, differentiated,
with the aim of helping the user to decide the rules to be used when evaluating a job
(Fig. 1):
296 E. Carrera et al.
• Method of hazard identification using the pass key or pass key

• Quick evaluation
• Specific or analytical evaluation, with specific criteria for evaluation of multitasking
tasks or very varied tasks.
Fig. 1. .
This technical report is designed to help mainly in two areas. First, to help pro-
fessionals recognize the scenarios in which the standards of the ISO 11228 series
and/or the ISO 11226 standard should be applied, therefore, it provides a tool for
biomechanical ergonomic “hazard identification”.
And secondly, to offer a “quick assessment” technical guide that can be used for the
“risk estimation” of the different activities within an industry. For this reason, it is a
document that helps in the management of ergonomic risks, allowing ergonomics to be
incorporated into occupational health and safety management in companies.
Companies can design a strategic plan of intervention, with the results of the
application of this instrument to prevent the onset of musculoskeletal disorders caused
at work and an annual action plan, which will allow you to allocate resources in what
really is important for the health of the workers and the productivity of the company,
during the realization of this study took into account the jobs of: bricklayer, tunnel
boring machine operator and panel placing machine operator; and they were divided
into two phases of the project: drilling and construction of stops [3].
3 Results
The results obtained during the evaluation will be presented in the following tables
where the percentage of time they were exposed to ergonomic risks in the 15 months in
which the information was collected.
Chart 1. .
In the Chart 1 of the percentage of times exposed to different types of ergonomic

risks we can see how the mason job has 90% of the time manual lifting of loads, 90%
of repetitive work, 50% of manual transport, 25% of push and drag and 90% of static
work postures (Chart 2).
Chart 2. .
In the table of the percentage of times exposed to different types of ergonomic risks
we can see how the mason position has 90% of the time manual lifting of loads, 10% of
repetitive work, 10% of manual transport, a 10% push and pull and 60% static work
postures (Chart 3).
Chart 3. .
In the chart of the percentage of times exposed to different types of ergonomic risks
postures. (Chart 4)
Chart 4. .
In the chart of the percentage of times exposed to different types of ergonomic risks
postures.
Bricklayer Comparison Between

Drilling and Construction Tasks
STATIC WORKING POSTURES 60
90
PUSHING/PULLING 10
25
MANUAL CARRYING 10
50
UPPER LIMB REPETITIVE MOVEMENTS 10
90
MANUAL LIFTING 90
90
0 20 40 60 80 100
perforación Construcción
Chart 5. .
Comparison of the tasks of the mason between the activities of drilling and con-
struction, in Chart 5 is observed as the work in static postures is a constant that varies
in construction by 30% and it is also appreciated that the manual lifting of loads is
identical in the two phases of construction with 90%, however, the type of load to be
handled is different, in the case of repetitive movements it is clearly evident that the
problem is majority during the construction of the stations.
Comparison of the operators during the drilling and construction phase, it is nec-
essary to consider that as the drilling progressed, the panels for the construction of the
tunnel were assembled; in the tables it is observed how the work in static postures is a
constant in a 90% and it is also appreciated that the manual lifting of loads is identical
in the two operators with 5%, in the case of repetitive movements they are clearly
values very similar with a 5% difference between 25% and 30% who respectively have
both positions (Chart 6).
Comparison between Operators

During the Two Work Phases
STATIC WORKING POSTURES 90
90
PUSHING/PULLING 5
5
MANUAL CARRYING 5
5
UPPER LIMB REPETITIVE MOVEMENTS 25
30
MANUAL LIFTING 5
5
0 20 40 60 80 100
Operador de máquina colocadora de paneles Operador de tuneladora
Chart 6. .
4 Conclusions
In the present study we can demonstrate the importance of the initial evaluation of
ergonomic biomechanical risks, to which the analyzed jobs are exposed in which
critical and non-critical situations were found, but in which it is necessary to carry out
the specific evaluation with the family of ISO standards: 11228-1,2,3 and ISO: 11226;
depending on the need for analysis.
The construction company carried out an efficient planning for the control of the
identified risk factors, in the tunnel drilling phases and in the construction of the
stations and where the ergonomic biomechanical risks had a primary consideration,
both in safety management and in the monitoring of health, being a company con-
sidered a leader in good corporate practices.
The construction company carried out different activities to raise awareness among
its workers of the ergonomic risks in the workplace, which led to significant control in
the tasks of manual lifting of load, manual transport of load as well as drag and push,
but the intervention that was achieved in postural and repetitive aspects were more
discreet due to the impossibility of changing the tasks that gave rise to those ergo-
nomics dangers.
One of the aspects that most call attention to the results obtained is the majority
presence of static work postures, which are mainly caused by the lack of adequate
designs of machines and work equipment adapted to the anthropometry of Ecuadorians.
It is very important and priority to generate an anthropometric profile of the
Ecuadorian.
It should be noted that during the drilling process, the work on the construction site
was rigorously supervised, and serious injuries and fatalities were avoided in the
drilling and tunnel construction works, which is important to highlight since being a
megaproject for the city and the country, was a pioneer in terms of techniques that seek
the welfare of workers, subcontractors and civil society in general.
References
1. Lowe, B.: Assessment methods used by certified ergonomics professionals. In: Proceedings of
the Human Factors and Ergonomics Society 2018 Annual Meeting (2018)
2. Diego-Mas, J.: Errors using observational methods for ergonomics assessment in real practice.
Human Factors (2017)
3. Hagg, G.: Corporative initiatives in ergonomics. In: Proceedings of the IEA 2000/HFES 2000
Congress (2000)
Comparisons of Three Observational
Ergonomic Tools for Risk Assessment
on Upper Extremities in a Pump Assembly
Plant – A Pilot Study
Meng-Chuan Ho and Ei-wen Lo(&)
Department of Occupational Safety and Health, School of Public Health,

China Medical University, Taichung, Taiwan
u104014425@cmu.edu.tw, loeiwen@mail.cmu.edu.tw
Abstract. The purpose of this study was to compare the agreement of three risk
assessment tools for WMSDs, KIM-MHO, OCRA Index, and RSI, on upper
extremities. Three raters were recruited to evaluate the risks of 30 repetitive
pump assembly jobs based on job characteristics. The highest intra-class cor-
relation coefficient (ICC) of risk scores was 0.6 (95% CI: 0.39–0.76) when using
OCRA Index. Pearson’s Correlation coefficient on the averaged risk score
between KIM-MHO and RSI was high (r = 0.893, p < 0.01). The highest
weighted-kappa coefficient of risk category between KIM-MHO and OCRA
index was 0.21, which was a little low. The possible reason may be the defi-
nition of “risk” and the cut-off values used by each assessment tools. In con-
clusion, KIM-MHO is a recommended screen tool to assess the WMSDs risk on
the upper extremities because of easy to use and less time consuming.
Keywords: Upper extremities Risk assessment Revised Strain Index

OCRA Index KIM-MHO Reliability
1 Introduction
The main risk factors for upper limb musculoskeletal disorder caused by job involves
forceful exertion, awkward posture, high repetitiveness, long duration, etc. [1–3]. In
addition, epidemiological studies confirmed that the workers exposed to high force-
high repetitive jobs was 15 times higher to have carpal tunnel syndromes compared to
the those who exposed to low force-low repetitive jobs [4], and the tendinitis in hand
and wrist was more than 29 times [5].
There are many different measures to evaluate the risk factors and/or levels asso-
ciated with work-related musculoskeletal disorders (WMSDs), e.g., subjective judge-
ments, systematic observations and direct measurement. The semi-quantitative and
systematic observational assessment tools are applied to occupational health researchers
and practitioners commonly [6], which have the advantages of relatively low cost,
systemic design, and with moderate to high validity and reliability [6–8]. Therefore, the
occupational safety and health specialists should select the suitable method according to

https://doi.org/10.1007/978-3-030-20145-6_30
Comparisons of Three Observational Ergonomic Tools 303
the validity, reliability, practically and the aim of the risk assessment [6, 8]. Some semi-
quantitative assessment tools aim to quantify the workers exposed to WMSD risk factors
in upper extremities, such as Revised Strain Index (RSI) [9], Hand Activity Level-
Threshold Limit Value by American Conference of Governmental Industrial Hygienists
(ACGIH HAL-TLV) [10], Key Indicator Method for Manual Handling Operations
(KIM-MHO) [11], Occupation Repetitive Actions Index (OCRA Index) [12], etc.
Results from previous studies revealed that the reliability of some semi-quantitative
assessment tools were relatively moderate to high [13–15], but other studies reported the
agreement of assessment tools would be affected from experiences of raters when they
compared similar semi-quantitative methods [16].
Therefore, the purpose of this study was to compare the agreement of three risk
assessment tools for the WMSDs on upper extremities.
2 Methods
2.1 Study Tasks
Physical exposure data for 30 cyclic jobs were videotaped and collected in a pump
assembly plant in Central Taiwan. The basic characteristics of these jobs should be
repetitive [4] and mono-tasking. A repetitive task is defined as it postulated with cycles
lasting less than 30 s or when over 50% of the cycle time is spent in executing the same
type of action. A mono-tasking job is defined as an operator performs only one task for
at least 90% of a working day. Before recording the video, the executive officer in this
facility agreed with the study procedures and all participating operators signed the
informed consent. Researchers recorded the 30 tasks using handheld digital camcorders
focused on the upper extremities from two of three views (right, left, and/or front) of
worker. Video recordings captured a minimum of five work cycles when the operator
followed the standard operating procedures to complete their job. Task duration and
break/recovery times were collected by direct observation and interviews with the
occupational safety and health specialist and operators. No personal or identifying
information was collected and no individual data was provided or available to the
employer [14].
2.2 Raters
Three raters of ergonomic expert, scholar, and trained student participated in this study
to conduct job analysis and assess the risks on 30 pump assembly tasks using the RSI,
OCRA Index and KM-MHO separately. All the raters had to participate in a training
session to be familiar with these tools prior to the risk assessments. All training ses-
sions included instruction on principles and procedures as well as practice using each
method. The video clips used for practices were also taken from the same facility. The
criteria used to evaluate the completion of the training was the raters achieve consis-
tency on the scores of task-related variables (e.g., force, posture, frequency, duration,
etc.) by the experienced ergonomic researcher.
304 M.-C. Ho and E. Lo
Once trained, the researcher provided the digital format of 30 video clips and
electronic files of Excel worksheets for RSI, OCRA Index and KIM-MHO worksheets
to the three raters. The RSI worksheet was based on Moore and Garg’s original
procedures [9]. The OCRA Index worksheet was based on Colombini and Occhipinti’s
update of the method [12]. The KIM-MHO worksheet was based on the federal
Institute for Occupational Safety and Health (BAuA) and revised in 2012 [11].
2.3 Exposure Assessment

Each rater performed the risk assessment on those 30 jobs using RSI, OCRA Index and
KIM-MHO separately, and they did not discuss the results with one another. Raters
assigned individual rating scores of five task-related variables in the RSI system. These
five variables are (1) intensity of exertion, (2) exertions per minute, (3) duration per
exertion, (4) hand/wrist posture, and (5) hours per day. The same procedures were also
applied to the raters for the seven task-related variables in the OCRA Index system.
The seven variables include (1) force, (2) posture, (3) additional factors, (4) frequency,
(5) recovery time, (6) duration per day, and (7) stereotypy. Finally, there are seven
task-related variables in the KIM-MHO system, including (1) duration per shift, (2)
force exertion, (3) gripping conditions, (4) work organization, (5) working condition,
(6) posture, and (7) hand/arm position and movement. The present study didn’t apply
direct measures to the force required to perform jobs. For RSI and OCRA Index, raters
used the Borg CR-10 scale [17] to estimate the force/exertion intensity rather than
using self-reported force estimates form workers based on the video observation and
the motion expression when operators performed their jobs. For the KIM-MHO system,
raters assigned the force values to each action based on the anchor descriptions and
examples listed in the rating sheet. The information about duration per day/shift,
recovery time variables were provided to raters by researchers and all were scored the
same.
The three assessment tools (i.e., RSI, OCRA Index, and KIM-MHO) output for
each task was categorized into three risk levels - Low, Moderate, and High. The
standardization of these scores is shown in Table 1. It should be noted that RSI’s 2
categories (i.e. safe and hazardous) had to be divided into 3 risk categories, and OCRA
Index’s 6 levels were combined into 3 risk categories.
Table 1. Standardization of Revised Strain Index (RSI), Occupation Repetitive Actions Index
(OCRA Index) and Key Indicator Method for Manual Handing Operations (KIM-MHO) scores.
Risk levels RSI score OCRA Index score KIM-MHO score
Low <5.9 <2.3 <25
Moderate <11 2.3–4.5 25–49
High > = 11 > = 4.6 > = 50
2.4 Data Analysis

The statistics used to characterize the degree of consistency among the three risk
assessments tools included intra-class correlation coefficient (q), Pearson’s correlation
(c), weighted-kappa coefficient (j). Intra-class correlation coefficient is the most
common measure to investigate the reliability of raters when comparing those semi-
quantitative and observational ergonomic risk assessment tools [14, 18, 19]. Weighted-
kappa coefficient is used to characterize inter-rater agreement on risk levels among
three raters. Pearson’s correlation represented the strength of association between two
assessment tools on risk scores. The ICC interpretations were based on the criteria
suggested by Stevens et al. [15]. The criteria of weighted-kappa were interpreted
according to Landis and Koch’s report [20]. A software of IBM SPSS version 22.0 was
used for statistical analyses.
3 Results
3.1 Intra-class Correlation Coefficient (ICC)

Table 2 summarized the result of ICC of risk scores among three risk assessment tools
by three raters. Among these assessment tools, the OCRA Index had the highest inter-
rater reliability (q = 0.60, 95% CI: 0.39–0.76), and the lowest was occurred when
using KIM-MHO (q = 0.42, 95% CI: 0.19–0.63). However, the inter-rater reliability of
risk scores for the RSI, OCRA Index and KIM-MHO was moderate [15].
Table 2. Intra-class correlation coefficient of risk scores from three raters by three assessment
tools.
Assessment tool ICC (q) 95% CI
RSI 0.48 0.27–0.68
OCRA Index 0.60 0.39–0.76
KIM-MHO 0.42 0.19–0.63
Overall* 0.51 0.29–0.70
*the risk scores were from the averaged
risk scores of the three raters.
3.2 Pearson’s Correlation

The high correlation was KIM-MHO with RSI (c = 0.89, p < 0.01). OCRA Index
showed a moderate correlation with KIM-MHO or RSI. (c = 0.60 and c = 0.48,
respectively). The correlation for all was statistically significant at the 0.01-level
(Table 3).
Table 3. Pearson correlation among the averaged risk scores from three raters by three
assessment tools.
KIM-MHO RSI OCRA Index
KIM-MHO –
RSI 0.893* –
OCRA Index 0.598* 0.478* –
*. Correlation is significant at the 0.01 level
(2-tailed).
3.3 Weighted-Kappa Coefficient

The result of weighted kappa statistics on risk levels was highest between OCRA Index
and KIM-MHO (j = 0.21). The kappa values estimated the degree of agreement
between OCRA index and RSI or between KIM-MHO and RSI which was very low
(j = 0.02 and j = 0.00, respectively). The agreement of the risk assessment on the risk
categories was a little poor (Table 4).
Table 4. Weighted kappa of the risk category from the averaged risk scores of three raters by
three assessment tools.
KIM-MHO RSI OCRA Index
KIM-MHO –
RSI 0.00 –
OCRA Index 0.21 0.02 –
4 Discussion
The present study compared the three risk assessment tools for WMSDs, RSI, OCRA
Index and KIM-MHO for upper extremities used by three raters in a pump assembly
factory. The inter-reliability and correlation on the risk scores among three assessment
tools was moderate to high based on intra-class correlation coefficient and Pearson’s
correlation, but the risk category based on the definition of three assessment was very
low. The possible reason may be the difference of the cut-off values used by each
assessment tools. Furthermore, the definitions on some risk factors were different
among these tools. For example, the definitions of intensity of forceful exertion was
using time-weighted average for KIM-MHO and OCRA-Index. However, a maximum
value was used by the RSI, which may lead to overestimate the risk. Relatively small
number of raters may also play an important role on the results of inter-rater reliability.
The other studies reported the agreement of assessment tools would be affected from
experiences of raters when they compared the similar semi-quantitative methods [16].
In addition, the different views on the posture effects among three assessment tools are
varied which may also affect the evaluation agreement on the risks. For example, raters
only assess exposures to wrist for RSI system. OCRA Index system considers the
effects from fingers to shoulders. On the other hand, KIM-MHO system evaluates the
posture effects on both hand/arm and whole body.
5 Conclusion
It is recommended to give priority to KIM-MHO for risk assessment on the upper

extremities because of easy to use and less time consuming. We will recruit three more
experienced ergonomic experts to participate in this study to minimize the variations on
the experience effect. In addition, intra-rater reliability will be investigated in the future.
Acknowledgements. This study is an undergraduate student research grants supported by the

Ministry of Science and Technology, Taiwan (MOST 107-2813-C-039-028-E) and China
Medical University, Taiwan (CMU 107-SR-23).
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The Impact of Work Environment
in Concurrence to Productivity
in Higher Institutions
Timothy Laseinde1, Ifetayo Oluwafemi2,3(&), Jan-Harm Pretorius2,

and Jesusetemi Oluwafemi3,4
1
Mechanical and Industrial Engineering Technology Department,
University of Johannesburg, Johannesburg 2006, Gauteng,
Republic of South Africa
otlaseinde@uj.ac.za
2
Postgraduate School of Engineering Management,
University of Johannesburg, Johannesburg, Republic of South Africa
johnifetayo@gmail.com, jhcpretorius@uj.ac.za
3
College of Engineering, Afe Babalola University,
Ado Ekiti, Ekiti State, Nigeria
jesusetemiayeni@yahoo.com
4
Department of Quality and Operations Management,
University of Johannesburg, Johannesburg, Republic of South Africa
Abstract. The quality of education in the Nigerian university sector is gradually

deteriorating, which becomes highly imperative to identify factors responsible
for the this decline which has sometimes been associated with the lingering effect
of poor working conditions of academia and students in Nigerian Universities.
This study examines the effect of the external environment, on staff and student
productivity in Nigerian Universities. A total of three hundred and forty-seven
respondents were received from the three hundred and ninety-eight question-
naires that were systematically distributed. Questionnaires were used to collect
primary data from the universities which was analyzed using Statistical Package
for Social Sciences (SPSS). Hypotheses were tested using percentages and chi-
square statistical method. This study reveals evidence of a significant relationship
between productivity and the external environment at 0.000 < 0.05. The study
findings show that lack of funding, inadequate training on use of school facilities,
poor motivation, amongst others have either hampered or are capable of hin-
dering productivity in Nigerian Universities. It is therefore imperative for key
stakeholders managing the higher institutions to exert conscious efforts towards
improving the quality of education by creating enabling and conducive work
environments which will translate into greater productivity.
Keywords: Productivity Work environment Nigerian Universities

Government Satisfaction Quality management

https://doi.org/10.1007/978-3-030-20145-6_31
310 T. Laseinde et al.
1 Introduction
Every institution, either privately owned or publicly owned has its set goals as well as
vision. To achieve and attain these desired set goals and visions, an enabling envi-
ronment is highly required. Higher institutions in Nigeria comprise of national, state-
and privately-owned universities. The goal of a university is to produce high educa-
tional standards for both staff and students provided there are appropriate work pro-
visions, motivational and incentives packages that can enhance the success of the goal,
but when all this necessity are not available, reverse is the case. In such situation, the
productivity of such University is said to be at stake. Funding, either capital, recurrent
and overhead among others are basic requirements for an enhanced productivity in any
University. All these basic variables are essential for enhancement of productivity in
Universities which must be made available for stakeholders like staff and students, to
attain predetermined performance.
In Nigeria, some universities, colleges as well as polytechnics have insufficient or
obsolete laboratory equipment, inadequate lecture rooms, poor classroom infrastruc-
ture, non-ventilated lecture rooms, and non-conducive office spaces for staff. Other
noticeable deficiencies are poor accommodation, the absence of on-the-job training
programs, job insecurity, poor management leadership style, lack of maintenance
culture, poor communication/clarity of organization’s goal to staff in various depart-
ments, lack of basic technological facilities required to compete in the fast-growing
computerized age, lack of finance to facilitate seminars and conferences that are meant
to enhance knowledge and skills. These have greatly affected the level of productivity
of both staff and students in most Nigerian universities, and there are other secondary
factors which are not amplified within the scope of these research. Consequently,
addressing funding, incentives for staff, infrastructural and human resource problems in
the systems, are increasingly urgent to improve productivity in Nigerian universities.
Since 2016, most state-owned Nigerian universities suffer delays in payment of
staff wages/salaries, which is either attributed to state government deficiencies and
ineffectiveness of higher institution management. This has really affected the Univer-
sity system in the country. Some privately-owned universities are also affected due to
the recent economic situation of the country. Larger number of students are now unable
to pay tuition fees on and as at when due, which cascades down to the difficulty in
university management paying the remunerations of their staff members. Also,
antagonism and distrust amongst staff, and students not only endanger the interde-
pendency in the educational system but weakens team spirit. This in multiple ways
affects staff and student’s performance. Some universities do not place any premium on
workplace diversity, which is very germane in enhancing performance and increasing
productivity. Although works have been done and recommendations made on the
issues pertaining to the work environment, the problems persist in the university
environment and is continuously deteriorating through the years. University funding is
at a decline because Nigeria has not allocated more than 10% of its budget towards the
educational sector, which contradicts the 26% of budget allocation to education as
recommended by the United Nations Educational Scientific and Cultural Organization
(UNESCO). The neglect suffered by these universities has led to the collapse of
infrastructure, classrooms that lack chairs, unequipped laboratories, among others.
The Impact of Work Environment in Concurrence 311
From the above problems noted, it can be concluded that poor finance, deteriorating
infrastructure, amongst others have affected the quality of education. Despite several
studies done, considerable research attention has not been given to students learning
environment as an ergonomic consideration which also contributes greatly to student’s
performance. From the studies, recommendations from related works have not been
applied effectively to proffer lasting solutions to the problems highlighted because of
the downturn in the country’s economy.
This study is designed to empirically examine the work environment problems of
both staff and students’ and proffer solutions.
2 Concept of Work Environment
Many scholars have made effort to conceptualize work environment. Oludeyi [1]
illustrated work environment as the settings, conditions, and circumstances under
which people work. According to Yusuf [2], in his study, he explained work envi-
ronment as the totality of forces, actions and other influential factors that are currently
or could potentially contend with an individual’s activity and performance. It is also the
sum of the interrelationships that exist within the employees and the environment in
which the employees work [3]. It could be the physical conditions, work or study
processes or procedures. The work environment in this study also means surrounding
conditions in which staff and students operate towards a productive end. It comprises of
the technical, the human and the organizational environment. The technical environ-
ment refers to the physical element of the workplace which includes equipment, and
digital infrastructure. Conversely, the human environment is the interactions and
relationships which can be either formal or informal among colleagues, superiors and
subordinates, existing within an organization. Finally, the organizational environment
consists of the systems, procedures, and philosophies which function under the control
of management i.e. where an organization pulls its inputs, processes it and returns the
products or services in form for public consumption. These environments have a strong
impact on influencing people’s attitude towards work.
There are two types of work environments. The work environment may either be
conducive or toxic. A conducive work environment gives employees a pleasant
experience and helps them perform to the best of their abilities, while a toxic envi-
ronment gives an unpleasant experience which affects employees’ behaviors and makes
them develop negative traits. Similarly, Akinyele [4] enumerated factors that contribute
to a toxic environment. They include opaque management, biased bosses, company
policies, poor working conditions, poor interpersonal relationships, and low pay.
2.1 External Environment Physical

The learning environment comprising of people, equipment, space, and time should be
organized to facilitate learning outcomes [5]. In a university, the conditions that should
prevail to make it conducive for learning are, the physical environment, infrastructures,
and the people that make up the system. Working conditions are created by employee
interaction with their organizational climate, and this is their psychological as well as
physical working conditions [6].
According to Sheets [7], in his study, he illustrated that most school facilities are in
a state of obsolescence and deteriorating. Children are being raised in schools that the
classrooms are literally bursting in their seams as a result of the rise in student pop-
ulation and reports show that one in four public schools are congested [8]. The sce-
narios are similar to higher institutions in the country under investigation in this study.
Record numbers of school buildings are gradually going bad because of poor or
unplanned maintenance, which has become a serious issue for national concern. Sheet,
established that the older a school facility, the greater its negative impact on students.
He noted that as the age of the school building increased, good performances on test
scores by students decreased, the reason being that, the quality of new facilities or
infrastructure that have current technologies with innovative teaching/learning envi-
ronment cannot be compared with older school facilities that do not meet current
educational needs. He discovered that overcrowded schools use spaces like libraries,
gymnasiums, laboratories, cafeterias, storage areas for teaching that were not to be used
as classrooms, and this influences students’ performance negatively. Various research
have shown consistent evidence for the effect of basic physical variables (air quality,
temperature, noise) on learning, because the presence of some physical elements in the
classroom improve comfort, and probably attitude which improves achievement [9].
According to Mcacoy in [10], the physical challenges facing universities today are
crumbling infrastructure, sprawling campuses, lack of funding, poor lighting, poorly
planned classrooms. In the same vein, Akporehe [11] posited that the physical envi-
ronment includes infrastructural facilities such as school building, laboratories,
libraries, staff offices, etc. when the conditions are appropriate, it has a positive
influence on attitude to the job; but when absent, morale and commitment is low. Yusuf
[2] established that to manage the work environment effectively, it entails making it
attractive, comfortable and motivating to students and employees to give them a sense
of pride and purpose in what they do. Hence, the physical environment is an important
determining factor in motivating staff and student for productivity [12]. Mcavoy [10]
posited that the techniques used to create and plan the university environment (i.e.
campus spaces especially libraries and classroom setup) are key to aiding learning and
social relations. Therefore, making a classroom interactive and stimulating is key to
successful learning because where learners are taught affects how they learn.
2.2 Funding
It is safe to say that the success of any educational system hinges on proper planning,
effective administration, and adequate funding. Funding is essential for the survival of
any tertiary institution in Nigeria because the foundation of education is fragile when
not well funded and could lead to weak intellectuals being produced from the uni-
versities. Underfunding at the tertiary level in Nigeria is a persistent occurrence because
funds pumped into the sector can no longer meet the rising demands and the growth in
the population of Nigerian universities, which in turn affects staff and students’ per-
formance who are at the receiving end [13]. These problems have arisen over the years
because the Nigerian government has not met the recommendation of 26% of the total
budget allocation to the educational sector by the United Nations Educational Scientific
and Cultural Organization (UNESCO) [14].
This void in funding has led to a decline in staff welfare package and their working
conditions/environment, which results in the brain drain of professional staff, rioting,
high crime rate, cultism, persistent strike action, misappropriation of funds, and all sorts
of vices, which prevent growth in the tertiary institutions. In Nigeria, the government
provides for over 80% of all the funds needed for capital and recurrent expenditures in
the universities, but in most developed countries, the tuition fee is an essential source of
funding for institutions. As a solution to dependency on government, various recom-
mendations of other sources that could fund and maintain funds in the universities,
have been listed by Eneh [15], which includes tuition fee, grants, credits and loans,
increasing commercial activities around the campuses, funds from investors, and rev-
enue from e-learning programs. Therefore, it is imperative that stakeholders in edu-
cation seek alternative means to curb the lack or unavailability of funds [13].
2.3 Internal Environment
Career Advancement/Training and Development. Staff morale is an important

aspect of the learning environment, so there should be systems and processes relating to
teachers having a role beyond the classroom as posited by Higgins et al. [9]. As
established by Yusuf [2], the more managers can find creative ways to motivate their
employees, the more effective they will be at enhancing their performance and orga-
nizational accountability. According to Halidu [16], the types of employee training are:
• Induction training which entails orientation of new employees to know the back
ground of the organization, line of authority and their job roles.
• On the job and off the job training
Job training is a technique of training through which an employee under supervision,
acquires relevant skills, knowledge, and attitude at his work with errors continually
corrected until the correct procedure is mastered. Often, the Job training is conducted
outside the working environment, usually in classrooms or the trainees are given
theoretical knowledge on how to handle a specific operation such as workshop and
seminars, case study method etc.
Staff training and development as researched by Halidu [16] and Isiwu [17] is key to
higher productivity among employee’s in the academia. Training helps employees
obtain and retain the necessary skills, and personal capacities to contribute sufficiently to
attaining organizational objectives, therefore, to develop an individual, is one of the
best-known practices of workforce development. Objectives and good returns on
investment could only be achieved if the human resources of the organization are
developed. An organization may have employees that are capable and determined, and
the proper equipment and managerial support in-place, yet, productivity may not reach
the projected standard. This in many cases is due to lack of adequate skills and
knowledge which is obtained through employee training and development mechanisms.
According to Ellis et al. [18] and Isiwu [17], despite the measure by the Nigerian
Government to encourage indigenous manpower development, most institutions in
Nigeria do not prioritize training and development of its employees. This was attributed
to the financial inabilities, employee mobility, overworked staff and lack of awareness
of its impact on employees’ performance. Training employees in an organization do not

only motivate them but helps them learn their important and expected task to perform
their job better in an efficient and effective manner. Poor performance reviews are noted
to be due to insufficient job training and cause employee dissatisfaction, conflict, and
negative attitudes.
University Management and Organization. Opaque management consists of unclear
vision, mission, objectives, ambiguous roles, inefficient use of resources, people getting
away with cheating, or staff not carrying out their duty [1]. Also, some universities
have their organogram on paper, but it is not well implemented which eventually lead
to inefficiency of the universities output and unnecessary conflict.
As established by Fatokun et al. [19], there will be motivation to achieve organi-
zational goals when management communicates frequently with subordinates and such
creates a situation where conflict can be avoided within the organization, which makes
the system more efficient. Also, according to Adebalu [12], management should base
promotion on satisfactory performance on the job, evidence of impact on student
learning achievement, good relationship with students, colleagues, school authorities,
and parents. However, the country’s teachers union have expressed dissatisfaction with
the promotion system because, in practice, they are promoted based on their qualifi-
cation and years of service rather than on the key conditions meant for promotion. To
buttress this fact, stakeholders were interviewed, and they agreed that when promoting,
teachers’ performance tends to be ignored, while emphasis seems to be placed on years
of experience, regardless of the quality of that experience. Therefore, in most cases,
good and bad teachers are promoted together.
2.4 Psychosocial Environment Leadership Style

Leadership is about listening, providing support and involving members in the
decision-making and problem-solving process of the organization in order to develop
their ability to make skillful decisions [19]. It is defined as a social influence process in
which an individual intentionally exerts power over others [20].
Fatokun et al. [19] and Ukaidi [20] established three basic leadership styles, which
are as follows:
– Autocratic: This is characterized by dictatorial behavior, one-way communication
and is conflict-prone. They have little to no trust in their subordinates and believe
pay is a perfect reward to motivate workers.
– Democratic-Participative: It entails shared decision-making, open communication,
even though the leader has the final authority in decision making. People under this
leadership feel a sense of responsibility, which enhances productivity.
– Laissez-faire: This style is characterized by individual decision making which gives
subordinates maximum independence in their job. Due to minimal to no leadership
control, productivity is usually low and work sloppy.
School leadership is an important factor in motivating or reducing morale and
commitment in staff and student. He found that people felt highly motivated when
consulted about decisions regarding their work, but unfortunately, a high proportion of
school managers are autocratic in relating with subordinates [12].
Similarly, Ukaidi [20] posited that leadership style greatly influences performance
and organizational output, therefore, workers, management, and their environment
should be in harmony so that the organization can function effectively. This is made
possible in a democratic leadership system, where leaders set high organizational
performance culture through interaction and transparency. As posited by Higgins et al.
[9], good communication within a school creates an environment that encourages
success.
Motivation. Motivation as a physiological deficiency or need that incites a behavior
aimed at achieving a set goal [21]. Motivation is a force within an organization that
makes workers willing to work for the organizations progress [11]. It can be either
intrinsic or extrinsic. Intrinsic motivation is inherent to the job itself, that is, the
recognition and praise individuals enjoy when tasks are completed successfully, while,
extrinsic motivations are external motivators like pay, security, promotion, the work
environment and its condition, fringe benefits (car, house loans, free medical services),
amongst others.
The research done by Adebalu [12] and Akanbi [21] which explores motivational
issues in Nigeria, shows that people are dissatisfied with living and working conditions,
such as, wages, adequate training, career development, poor work environment,
amongst others. Also, the inequality that exists between the teaching profession and
other professions in terms of fringe benefits and salaries lead to dissatisfaction. It was
found that what the typical low-income earning teacher desires is increase in salary that
they believe would enhance their commitment and performance. Akporehe [11] sug-
gests that job security of workers (income and employment) will boost personnel
stability and long-term commitment. Therefore, when teachers’ salaries are delayed, the
level of commitment reduces, and this creates a very poor work environment, which
reduces their productivity.
Employee reward can either be financial, non- financial or both. Pay reward (fi-
nancial reward) has been debated on over the years to know if they really motivate
employees or simply compels them to work. It is important to note that money takes on
varying degrees of importance for different individual due to differences in needs, but, a
competitive pay reward system will sustain high employee performance which would
lead to achieving organizational goals. On the other hand, employee recognition is a
form of non-financial reward and an intrinsic motivator, because recognizing
employees’ achievement increases sense of belonging that would boost employee self-
esteem to perform at their best which in turn encourages them to maintain deep loyalty
for the organization. Finally, he concluded by saying that what is most important is
employees being adequately compensated for their efforts which will encourage him to
perform better. Akporehe [11] posited that lack of adequate motivation in a system has
negative effect on staff performance.
Conclusively, Audu [22] noted that financial reward enhances productivity; so does
employee’s self-worth, safety, work environment, and working conditions guarantee
productivity.
3 Methodology
In this study, a quantitative approach was applied through the use of a survey instru-
ment, designed using a well-structured questionnaire to obtain primary data from the
sampled respondents. The secondary data was based on literature review of previous
research published in journals and educational repository in the study country. The
survey method was used to examine the effect of work environment on the productivity
of staff and students in some selected Nigeria universities by administering question-
naires to the selected samples. A total of three hundred and forty-seven (347) responses
were selected from the data harnessed from a systematically constructed sample size
comprising of three hundred and ninety-eight questionnaires from respondents. Outliers
in the data collected were removed and the data was normalized.
4 Findings and Discussions Demographic Profile

of Respondents
The distribution of the demographical characteristics of the respondents are presented

in the bar charts below. The respondents involved in the study were 192 (55.33%) male
and 155 (44.67%) female as shown in the Fig. 1 below. This reflects the gender
distribution of the Nigerian labor force and students acquiring higher education, in
which the males are larger in proportion.
Fig. 1. Gender distribution from selected universities
Figure 2 illustrates the work experience of the respondents involved in the study.
137 (39.48%) had no work experience in the educational sector; 25 (7.2%) had less
than 6 months of work experience; 43 (12.39%) had worked 6 months to a year; 91
(26.22%) had worked 2–10 years; 31 (8.93%) had 11–20 years of experience; and 20
(5.76%) had 21–30 years of work experience in the sector. From the field study,
students had no experience working in the education sector; few however, had less than
6 months to a year work experience in the sector as interns or youth voluntary services.
The chart below shows that staff with experience had worked for mostly 2–10 years in
the educational sector.
Fig. 2. Distribution by work experience from selected universities
4.1 Testing of the Hypotheses

Null Hypothesis (Ho): There is no significant relationship between the external envi-
ronment and productivity in the Nigerian universities.
Alternative Hypothesis (Hi): There is a significant relationship between the external
environment and productivity in the Nigerian universities.
Cross Tabulation for Testing the Effect of External Work Environment on Staff and
Students’ Productivity in Nigerian Universities (Tables 1, 2 and 3).
Table 1. Observed frequency table

Objectives SA A SD D U Row
total
My institution is committed to ensuring health 79 193 30 33 12 347
and physical well-being of members
My institution has set structures to discourage a 74 174 37 53 9 347
dirty, noisy and crowded environment
There are adequate equipment and facilities that 65 157 39 79 7 347
encourage learning and education
The system provides adequate motivation to 69 180 34 51 13 247
achieving set goals
Inadequate funding has had some negative effect 164 122 27 29 5 347
on the quality of teaching and learning
Government funding has been grossly 142 130 20 25 30 347
inadequate
Source: Field work, 2017
Table 2. Expected count table

Objectives SA A SD D U
1 101.1 144.9 39.3 47.6 14.1
2 101.1 144.9 39.3 47.6 14.1
3 101.1 144.9 39.3 47.6 14.1
4 101.1 144.9 39.3 47.6 14.1
5 101.1 144.9 39.3 47.6 14.1
6 101.1 144.9 39.3 47.6 14.1
Table 3. X2 calculated for External environment and staff and students’ productivity in Nigerian
Universities
Tested items No of v2- Degree of Critical Asymptotic v2- Remark
observations calculated freedom value significance Tabulated
(r-1) (c-1) (2-sided)
External 4164 8.807E2a 44 0.05 0.000 1.960 Reject
environment and HO1
productivity
The result from the analysis indicates that there is a significant relationship between
the external environment and staff and students’ productivity. The probability value is
less than 0.05.
5 Conclusion and Recommendation
From the test result of the hypothesis, it was revealed that there is clear evidence of a
direct relationship between the external environment, and the student/staff productivity.
In terms of health and physical well-being, crowded, noisy, and filthy environment,
negatively affects productivity. Funding, living conditions, are also major drivers to
staff performance amongst other secondary conditions. This finding led to rejecting the
null hypothesis which was not in agreement with the statement that the external con-
ditions of a university environment have an impact on staff and students’ efficiency,
and accepting the alternate hypothesis sufficed which was in support of a relationship
between the environment and productivity. Indeed, when the external environment in
the university is satisfactory, student and staff productivity is enhanced.
From the test results, working tools that facilitate accomplishment of duties,
funding of the sector and living conditions for members were inadequate in the study
area. This finding agrees with Eneh [15] who established that stress caused by poor
living conditions on and off campus contributes to the decline in educational quality
and anti-social behaviors amongst students. Similarly, Sheets [7] found that over-
crowded schools make use of spaces such as libraries, gymnasiums, and laboratories,
for teaching in lieu of lecture rooms which has detrimental effect on performance. This
was in conformance with the findings from the study. The findings on funding also
validates the findings of Famade et al. [13] which perceived funding of tertiary insti-
tution in Nigeria as grossly inadequate and recommended other sources that could fund
the institution, to fill the deficit. Additional funds to fill this gap will greatly equip the
university workforce with the required expertise and capacity needed for improved
work place productivity.
Based on the findings from this study, it is recommended that the government and
private bodies and other stakeholders in Nigerian educational system provide more
funds to universities through allocations and donations to help universities meet their
needs in the provision of physical facilities. Policies should be formulated that are
suitable for the growth of the educational sector such as increasing the educational
budgetary allocation from its current state (10%) to the UNESCO recommended
country budget (26%) which will ensure funds availability for study grants and
scholarships.
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Sports, Injury Prevention
and Outdoor Recreation
Thermal Performance of Equestrian Helmets
Merlin Bauwens(&), Sarah de Graaf, Alexandra Vermeir,

Shriram Mukunthan, and Guido De Bruyne
Department Product Development, University of Antwerp,

Ambtmanstraat 1, 2000 Antwerp, Belgium
{merlin.bauwens,sarah.degraaf,
alexandra.vermeir}@student.uantwerpen.be,
{shriram.mukunthan,guido.debruyne}@uantwerpen.be
Abstract. The cooling performance of three equestrian helmets was investi-

gated within this research. The helmets were evaluated for their capacity to
remove convective heat loss in the scalp area with the use of a thermal manikin
head with nine thermal zones. The manikin head was placed in a climate
chamber with an open loop wind tunnel. Ambient air temperature was 20 °C, air
velocity was 6 ms−1. Two commercially available equestrian helmets were
included (one closed, one vented) in the study and one custom made equestrian
helmet. The custom made helmet was optimized using design criteria for bicycle
helmets. Cooling performance is a measure for quantifying the ability of a
helmet to remove heat as compared to a nude manikin head under identical
environmental conditions.
The closed equestrian helmet had a cooling performance of 56% (22,6 W).
The open equestrian helmet had a cooling performance of 86% (32,9 W), and
the custom helmet had a cooling performance of 97% (38, 1 W). The results
show that cooling performance of equestrian helmets can be improved with use
of design guidelines that are used in bicycle helmets. Most equestrian helmet
may currently not yet have specified inlets, outlets and internal channels that
connect inlets with outlets.
Keywords: Equestrian helmets Cooling performance Convective heat loss

Thermal mannequin head
1 Introduction
Equestrian activities have focused on transport and mobility for centuries. Nowadays,
horses are mainly used within sports and leisure activities, resulting in less experienced
equestrians, such that the chance of horse riding accidents may have increased. Next,
horses may never be fully controlled such as man-made transport systems as they are
living organisms. Then also the impact height, as compared to transport modes such as
cycling and walking, is higher during a fall from a horse. Safety is therefore key during
equestrian activities and equestrian helmets contribute to this.
Nonetheless, many equestrians resist wearing helmets, which increases the possi-
bility of head injuries [13, 14]. Some studies have also indicated that thermal dis-
comfort affects the willingness of equestrians to wear helmets [14, 16, 17].

https://doi.org/10.1007/978-3-030-20145-6_32
324 M. Bauwens et al.
In addition, equestrian helmets may contribute to the development of heat illness

[11]. Even if the surface area of the human head is only about 9% of the total body
area, the head is responsible for up to one third of the total body heat loss when
protective clothing is worn [4, 8]. While total body heat loss is about 80 W to 100 W in
thermo-neutral environments when no physical activities are performed, total body heat
loss can increase to more than 2000 W during severe physical efforts at athletes. The
head is as such as important area for heat dissipation of the human body.
Even if ventilation and cooling characteristics of safety helmets, motorcycle hel-
mets and bicycle helmets is relatively well discussed in literature, thermal character-
istics of equestrian helmets have not yet been evaluated.
The aim of this study is first to quantify the convective heat loss characteristics of
three equestrian helmets with the use of a thermal manikin head. Second, this study
aims to evaluate the usefulness of design guidelines of bicycle helmets for improving
the cooling effectiveness of equestrian helmets.
2 Methods and Materials
2.1 Helmet Models

Three helmets with different vent designs were examined of which one fully closed
basic commercial helmet (Belstar), one commercial helmet with vents (GPA) and one
with modified ventilation. All helmets have an adjustable nylon harness to ensure the
helmet encloses the head as well as possible. Next to this, the helmets conform to the
safety requirements of EN1384. This rule implies that the helmed has passed the
required tests related to impact and penetration related.
The second and third equestrian helmet have vents, which are shielded according to
the guidelines from the previous safety standard. To quantify the surface area of the
vents, the number of holes in the mesh have been counted. This number is multiplied
by the area of each hole in the mesh. We call the output value the ventilation area. The
second helmet (GPA) has holes that are oval. The major diameter (a) is 0.4 cm, the
minor diameter (b) is 0.2 cm. The area of an ellipse is calculated with the following
formula: A ¼ a2 x b2 xp ¼ 0:4
2 x 2 xp ¼ 0:06 cm .
0:2 2
2
Each hole has an area of 0.06 cm . There is a total of 249 holes in the front. This
means that the ventilation area in the front is 14.94 cm2. At the rear there are 182 holes,
this gives a ventilation surface of 10.92 cm2.
The custom equestrian helmet has a mesh with round holes, these have a diameter
pxð0:3 cm2 Þ
2
(d) of 3 mm. Therefore, the area of each hole is A ¼ pd4 ¼

2
4 ¼ 0:07 cm2 .
At the front there are 335 holes, so the frontal ventilation area is 24.85 cm2. At the
rear there are a total of 394 holes, therefore the ventilation area is 27.58 cm2.
Open Helmet
The first helmet, by brand Belstar, has an inner layer made out of expanded polystyrene
and an outer shell of ABS (acrylonitrile butadiene styrene). The helmet is wrapped in a
velvet fabric and has a fully closed design with no vents (Fig. 1).
Thermal Performance of Equestrian Helmets 325
Closed Helmet
The second helmet is from GPA, type SpeedAir, and has an inner layer of expanded
polystyrene. The outer shell is made out of a composite, more specific a polymer
reinforced with fiberglass. The helmet is made out of 2 big vents in the front and 3
smaller vents in the middle of the front face. The total frontal ventilation area is
14.94 cm2. There are also 2 bigger vents at the back to ensure the air gets out after
flowing through. The total ventilation area of these two holes at the rear is 10.92 cm2.
This means that the rear ventilation area is 37% smaller (Fig. 2).
Custom Helmet
The third helmet has been adapted to the insights gained from research into thermal
performance in bicycle helmets. The custom helmet has four front vents with a total
area of 24.85 cm2. At the rear there are three vents with a common area of 27.58 cm2,
which lets the air out of the helmet. The custom helmet has a rear ventilation area that is
11% larger than the front area.
De Bruyne et al. 2012 describe that ventilation at the rear is optimized when the
front vents are connected to the rear vents via ducts. The overall vent size in the rear is
higher (11%) when compared to the front to create a pressure drop. All these factors
ensure that the head is cooled by the air flow [6, 8] (Fig. 3).
Fig. 1. Open Helmet Fig. 2. Closed Helmet Fig. 3. Custom Helmet
2.2 Test Setup

Construction of the Manikin Head
The thermal manikin is custom made to mimic the average head shape. It’s been
obtained by averaging the 3D point coordinates of the head over the population sample.
These coordinates were acquired from 85 MRI T1-FFE weighted scans (male and
female) from the ICBM database. The head is heated electrically to maintain a constant
surface temperature. The results are obtained by observing the amount of wattage used
to keep the head at this constant surface temperature.
The head is 3D printed in visijet pxl core on a Project CJP 660 Pro, strengthened
with Colorbond infiltrate. It’s made out of two layers namely: an outer layer with
thickness 2 mm meant for zone visualization and an inner layer of 2.5 mm for heating
elements and thermal sensors installation (thickness 0.5 mm). The inner layer is lined
with heating elements made out of Cu-Ni alloy and is connected to a power source to
stimulate the different metabolic heat output rate. To obtain specific zonal temperature
feedback as well, 40 NTC 10 k coated temperature measurement sensors are installed
in every measurement zone location as marked in the illustration of the zones of the
head, showed below. Because of this zonal feedback, more specific results can be
gathered concerning the specific zones whilst wearing the helmets instead of the head
as a whole (Figs. 4 and 5).
ANATOMIC SURFACE
NAME M2
ZONE 0 neck neck 0,02
ZONE 1 face facial 0,026
ZONE 2 forehead ocular 0,01
ZONE 3 scalp frontal 0,015
ZONE 4 scalp parietal 0,019 Fig. 5. Zones of the head,

illustration.
ZONE 5 scalp superior occipital 0,016
rear
ZONE 6 scalp inferior occipital 0,013

rear
ZONE 7 ears ear left/right 0,007
Fig. 4. Zones and surfaces
In these tests, the thermal performance of the equestrian helmets is measured. The
values are measured in watts; this is the power needed to keep the head at the same
temperature. More power required means a higher cooling performance of the helmet.
More power needed in a zone means greater heat dissipation. Less power required
means lower cooling performance. With a lower cooling performance, the helmet or
zone can build up heat which leads to discomfort. The cooling performance is
expressed in a percentage. This percentage is calculated by comparing the value of a
helmet zone with the value of that same zone of the nude head.
The head is placed in an ambient temperature of 20 °C and a relative humidity of
35% to 45%, this value is different for each test. The head has nine zones which record
the heating power for each zone. The heating power has to be averaged over a 30-mins
steady state period before measuring. The temperature of the head itself will be con-
stant at 30 °C. The power required to maintain the surface temperature at 30 °C is
recorded. This value is the heat loss due to convection.
The size of the helmets had to be perfectly adjusted to the size of the head of the
manikin to make sure there’s no unwanted heat-loss which may influence the test
results. The helmets had to meet the standards of the P50 of European sizes. The head
circumference is 58 centimetres, which corresponds to a size medium. The chosen

helmets differ in terms of ventilation, but all have an insulating housing made out of
EPS. Each helmet has a thick layer of EPS, surrounded by a shell of ABS.
The position of the head is maintained and constant during the two test setups,
perpendicular to the laminar airflow to simulate the desired position of the rider. It will
not be moved in height. The head is positioned 50 centimetres from the outlet of a wind
tunnel where the temperature of the air is equal to 20 °C.
The speed during trot and canter has been recorded by FEI (Federation Equestre
Intenationale) as a minimum of 5.8 m/s and 6.7 m/s. The windspeed used in this test
is ±6.1 m/s. This speed is measured before and after each test [15] .
Each test runs for 45 mins, only the last 15 to 20 mins are kept in consideration for
the final results since the temperature has to be stable first. The results of this test are
considered as the amount of heat loss during the test. The cooling performance of a
nude head is equal to 100%. The results of the helmets are compared with the heat loss
of the nude head [2] (Fig. 6).
Fig. 6. Left: wind tunnel; above: infrared heating (radiation, not used in this test). Helmet on
photo: helmet 2 (GPA)
Results are measured as the power (Watt) needed to maintain the global surface
temperature of the head at 30 °C. Cooling performance is defined as overall relative
heat loss of the manikin head with a helmet compared to a nude manikin head at
identical environmental conditions.
3.1 Global Convective Heat Loss

The closed equestrian helmet had no vents and thick insulating impact absorbing layer.
Results showed an average convective heat loss of 22,6 W and a cooling efficiency of
56,3%. The helmet is such unable to remove almost half of the heat loss emitted by the
manikin head.
The open helmet is vented, both in front as in the rear. Front inlet area was
14.94 cm2. The average convective heat loss of the open helmet was 32.9 W. Its
cooling effectiveness was as such 83.5%.
The custom helmet is vented, both in front as in the rear and internal channels
connecting inlets with outlets. Front inlet area was 24.85 cm2. The average convective
heat loss of the custom helmet was 38,1 W, The cooling effectiveness of the custom
helmet was therefore 96,8% (Fig. 7).
custom helmet 0.968
open helmet 0.835
closed helmet 0.563
0% 20% 40% 60% 80% 100%
Fig. 7. Global cooling performance of three equestrian helmets
3.2 Zonal Convective Heat Loss

3.2.1 Closed Helmet
The results showed that both the frontal zone and scalp rear/superior occipital were
ineffective in the removing heat. More specifically, cooling efficiencies for these zones
were only 24% and 16% (Fig. 8) if compared to the nude manikin head. Also the
parietal scalp did only have a cooling performance of 40% (Fig. 8). The global con-
vective heat loss of the closed helmet is therefore low.
3.2.2 Open Helmet

The open helmet had a cooling performance of 86% for the frontal scalp and 255% for
the parietal zone. The cooling effectiveness in the parietal zone is such higher for the
open helmet as compared to the nude manikin head. The superior occipital area had
cooling performance of 26% as compared to the nude manikin head and was as such
still poorly ventilated.
3.2.3 Custom Helmet

The custom helmet had a global cooling effectiveness of 96,8%. The worst performing
zones had an effectiveness of 66%, while the most performant areas had an effec-
tiveness of 308%. Three zones showed to have an effectiveness that exceeded a nude
manikin head. Even if the custom helmet achieved an extremely well overall cooling
effectiveness, its cooling at the rear zones may still be improved.
350
300
Cooling Effecvenes (%)
250
200
150
100
50
0
Axis Title
Fig. 8. Zonal Cooling effectiveness for three equestrian helmets
4 Conclusion
The cooling effectiveness of three equestrian helmets was examined by the use of a
thermal manikin that allowed quantifying global and zonal convective heat loss. Two
commercially available equestrian helmets were examined and one custom designed
helmet. The custom designed equestrian helmet was adapted with insights that were
gained from studies regarding the cooling performance of bicycle helmets. The closed
helmet had an average global cooling performance of 56%. Three zones were observed
with significantly reduced cooling effectiveness, namely the frontal area (24%) the
parietal area (40%) and the superior occipital zone (16%). The closed helmet was
clearly not able to remove heat from the manikin head. The open helmet had a global
cooling performance of 83,5% and the superior occipital zone as a main area for
reduced cooling effectiveness (26%). The custom helmet had global cooling effec-
tiveness of 96,8%, while no specific problem zones were detected as compared to a
nude manikin head.
The results showed that design guidelines for improving the cooling effectiveness
of bicycle helmets may also allow to improve the cooling effectiveness of equestrian
helmets.
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The Importance of Baselining Division 1
Football Athlete Jumping Movements
for Performance, Injury Mitigation,
and Return to Play
Reuben F. Burch1, Lesley Strawderman1(&), Anthony Piroli2,

Harish Chander3, Wenmeng Tian1, and Fredrick Murphy2
1
Department of Industrial and Systems Engineering,
Mississippi State University, Mississippi State, USA
{burch,strawderman,tian}@ise.msstate.edu
2
Athletics Strength and Conditioning, Mississippi State University,
Mississippi State, USA
{apiroli,fmurphy}@athletics.msstate.edu
3
Department of Kinesiology, Mississippi State University,
Mississippi State, USA
hchander@colled.msstate.edu
Abstract. Data collection and analysis have become a critical component for
decision-making and workout regimen design in athletic competition. The more
data sports performance personnel have for individual athletes from a time in
which the athlete was injury free, the more the coaching staff can utilize the
movement data to baseline the athlete’s movement before an injury occurs and
then train the athlete back to that baseline if an injury does occur. In this paper,
we discuss the benefits and roadblocks of baselining. We present a case of
baselining jumping performance for 22 division 1 football athletes, including a
presentation of the methods used to measure jumping performance. Descriptive
summaries of selected variables are presented, with a single participant high-
lighted to demonstrate a standard baselined jumping profile. Finally, ways in
which an athlete’s jumping baseline can be used for future training and con-
ditioning decisions are discussed.
Keywords: Ergonomics Athletics Sports performance Force plate

Jump assessment Collegiate athletics American Football
1 Introduction
The use of data in the highest levels of athletic competition is a growing area brought
about by the availability of more affordable and reliable technology solutions that can
exist outside of a lab environment. To understand the state of data usage in athletics,
over 100 strength and condition coaches from around the United States at NCAA
Division I and professional levels of competition were interviewed (funding provided
by the National Science Foundation [NSF] Innovation-Corps [I-Corps] program).

https://doi.org/10.1007/978-3-030-20145-6_33
The Importance of Baselining Division 1 Football Athlete Jumping 333
While multiple discoveries were made in this process, one common theme that
resurfaced repeatedly was the recognized need to baseline critical athlete movement
and—as a direct result—athlete performance “from the ground up” [1]. This theme was
repeated regardless of gender, sport, competition level, or location. Baselining in
general is a term used by the interviewees to describe the process of learning about
athlete movement as it pertains to their current state of performance and potential risk
of injury. Creating a baseline is equivalent to creating an athlete profile with known
metrics tied to common athletic movements such as maximum jump height, fastest
running and agility times, and maximum weight lifted during specific lifting
movements.
According to the subject matter experts interviewed, functional movement screen
(FMS) tests were a common way to assess athlete current-state lower body movement
performance. FMS is still used today at some athletic facilities to create a baseline of
athlete movement but is acknowledged by the practitioners as being too generic for
sports movements, too difficult to repeat across different training staff, and too sub-
jective to use for measurable data. The notion that “FMS does not accurately measure
athletic ability” was stressed at multiple facilities. As a result, strength and conditioning
staff are turning to technology solutions for movement assessment. While wearable
technology is the most prominent technology finding its way into many strength and
conditioning facilities around the country, many interviewees voiced that force plate
solutions have been found to be one of the most consistent and accurate ways to collect
repeatable and useable data for baselining the current state of an athlete’s lower body
performance. “Ground reaction force production is the KEY factor in athletic per-
formance,” stated one practitioner explaining why they rely so heavily and frequently
on force plate technology in their facilities for assessments.
Regarding the types of movement used to collect baseline data, various jump tests
are used to examine current performance levels of the athletes and to identify potential
injury thresholds with the countermovement jump being the most common [2].
According to the practitioners interviewed, jump tests are an integral part of assess-
ments in in most sports and are used as a criterion to classify athlete performance.
Explosive jumping power and lateral movements demonstrate an athlete’s preparedness
for a competition was often repeated by interviewees who would many times add that
“how quickly you get off the ground is just as important as your jump height.”
Additionally, jump execution results are used to identify any existing asymmetries in
the lower body during dynamic performance. One coach explained that “leg length
discrepancies impact the running mechanics and movement patterns.” Furthermore,
interviewees explained that jump tests have also been used as a prognosis measure
following any lower extremity surgical correction as well as for “return-to-play”
decisions. With an understanding of an athlete’s baseline jumping performance, sports
performance staff can individualize training regimens to improve or maintain perfor-
mance. Testing an athlete on multiple movement functions can help trainers to identify
areas for improvement in the athlete, as well as screen for injury risk [3].
At collegiate and professional levels of sport, detailed data about how athletes
move while performing critical athletic movements—such as jumping (take-off and
landing)—are useful in customizing training workouts to match the needs or capabil-
ities of the individual athletes. The coaches explained that, with more data available
334 R. F. Burch et al.
captured from jumping, the more customized the individual athletes’ workouts can be
designed to improve specific performance areas and mitigate those movement altering
asymmetries in the lower body. The more sports performance staff know about the
movement nuances of the individuals whom they are training, the more the training
staff can maximize the athletes training movements to achieve greater outcomes.
Most interviewees agreed that the primary goal of sports performance is to maxi-
mize performance while also minimizing risk. With baseline movement data for actions
like jumping, athlete current state can be compared to a previously known healthy
movement state. An area of improvement identified by many of the practitioners was
the need to objectively quantify that current state versus previously known healthy
states. Again, the first action is to mitigate injuries by observing the delta between
current state and healthy state. “Never say prevent injuries because you can’t prevent
them, you can only hope to mitigate the injuries,” was stressed repeatedly in the
interviews. But when injuries do occur, the training staff have multiple levels of athletic
rehabilitation and competition preparedness phase gaits that can be used to assess
athlete readiness. A critical piece of practitioner advice that evolved out of the
100 +interviews was a precise and agreed upon timeline from which the multiple point
of athlete movement baselining occurs. Most sports performance staff observe athlete
recovery to identify when the injured individual is prepared to: (a) return to running,
(b) return to sprinting, (c) return to agility, (d) return to participation, (e) return to play,
(f) return to performance, and (g) continuing performing. Having movement baseline
data for each athlete helps to objectively and consistently identify the onset of potential
injury (injury mitigation) or when the athlete has returned to their original, pre-injury
status (return to performance).
American Football, as a sport, is associated with more injuries than other team
sport. Sinclair et al. [4] report that 25 to 36% of injuries amongst football players are
from non-contact injuries, and that injuries to the ankle and knee are most common.
Assessments of jump performance for football athletes are a useful indicator of fitness
for a sport in which both speed and power are necessary [5]. Vertical jumping is one
indicator of athletic performance [6], therefore they are commonly used in athlete
assessment [7, 8] as indicated repeatedly throughout the interview process. For this
study, the research team partnered with a National Collegiate Athletic Association
(NCAA) Division 1 football program to investigate baselining athlete movement
profiles using five different types of jump tests on a force plate prior to beginning of the
athletes’ summer training sessions.
2 Methods
A repeated measures experimental design was used for this study. Each participant
completed one experimental session. Each participant completed three experimental
trials of each of the five jump types. Details regarding the participants, procedure, and
equipment, and outcome variables are presented.
2.1 Participants
NCAA Division 1 football athletes were recruited for participation in the study. To be
eligible for the study, participants must have been on the current academic year’s
roster, be 18–30 years of age, and have no recent history of a lower extremity fracture,
surgery, or previous ankle sprain. There were four exclusion criteria for the study:
(a) previously diagnosed with a musculoskeletal or neurological disease, (b) history of
a lower extremity fracture, (c) history of a lower extremity surgery within the last six
months, or (d) history of previous serious lower extremity injuries within the last six
months.
A total of 22 participants completed the study. Height of participants ranged from
176.53 cm to 195.58 cm (M = 187.10, sd = 5.23), and weight ranged from 78.00 kg to
139.76 kg (M = 101.91, sd = 17.12). Regarding experience playing division 1 foot-
ball, the sample was balanced across more experienced and less experienced partici-
pants. Measuring experience as academic year classification, seven participants
(31.8%) were freshman, four participants were sophomore (18.2%), four were juniors
(18.2%), and seven were seniors (31.8%).
Regarding position on the football team, 10 participants were categorized by the
coaching staff as skill players (45.5%), seven were big skill players (31.8%), and five
were lineman (22.7%). At the highest levels of competition, the body type of the
football athlete is often defined by their proximity to the point of origin of the football
prior to the start of a play. Generally, the closer a position is the football, the athlete in
that position is often larger because they are expected to execute more power-based
moves. The positions further away from the ball tend to have less bulky mass and
perform more speed-based maneuvers. Lineman, be they offensive or defensive line-
man, are categorized this way given that their position originates along the line of
scrimmage, closest to the ball. They are often the largest athletes on the field due to
their need to block or drive their opponent either away from or toward the ball
respectively. Skill players are often identified as the athletes required to perform the
speed-based maneuvers and are generally the furthest away from the ball such as wide-
receivers on offense and secondary positions on defense. Both position types are lar-
gely engaged during pass plays and larger, more open field movements. Lastly, big
skill described the positions that require a combination of both power- and speed-based
movements as these athletes are still somewhat close to the ball initially and will need
to take on power moves but also may need to operate in more open areas as well.
Running backs, quarterbacks on offence and linebackers on defense are some of the
positions that often fall into this category.
2.2 Procedure
A project team member visited football team meetings to announce the details of the
study and recruit participants. Those that were interested in participating were given a
written and verbal description of the purpose, methodology, inclusion criteria, and the
history/concepts of the study. Potential participants who fit the inclusion criteria
completed an informed consent document. At that time, the researcher collaborated
with the sports performance staff to schedule an experiment session time for each
participant such that it was compliant with NCAA scheduling requirements.
Upon arrival at the Human Performance Lab, participants were given an overview
of the research equipment and the purpose of its use. The participant was informed that
their participation in the investigation is completely voluntary and that he may with-
drawal from the study at any point. In addition to the participant, a sports performance
staff member was present during data collection. Two researchers were also present:
one to work directly with the participant, and a second to run the equipment.
Basic demographic and anthropometric measurements were collected. This infor-
mation included height, weight, position on team, and year in school. Participants were
then instructed to stand in the middle of the lab on a force platforms. For each jump
type, the experiment would begin with the sports performance staff member demon-
strating the jump. The participant would then make a practice jump to ensure that they
used the correct jumping technique. The participant then completed three trials for each
jump type, beginning the jump after receiving verbal notice by the researcher. For all
jump types, the participant was instructed to keep their hands on their hips throughout
the duration of the jump [9]. A description of the jump types is shown in Table 1.
Table 1. Description of jump types

Jump type Instructions to participant
Counter-movement Jump as high as possible by bending your knees and jump/explode
vertical jump up as high as possible. Land on both legs. Keep your hands on your
hips the entire time
Depth jump from a Drop onto the force platform from the 30 cm box and immediately
30 cm box upon landing, jump/explode as high as possible as quickly as
possible. Land on both legs. Keep your hands on your hips the
entire time
Single-leg hop Standing on your right leg, bend at the knee and then jump/explode
(right leg) up as high as possible. Land on your right leg only. Keep your
hands on your hips the entire time
Single-leg hop Standing on your left leg, bend at the knee and then jump/explode
(left leg) up as high as possible. Land on your left leg only. Keep your hands
on your hips the entire time
Plyometric jump Jump as high as possible by bending your knees,
jumping/exploding as high as possible, and then upon landing
jump again as soon as possible while trying to explode as high as
possible until a series of four consecutive jumps have been
performed. Land on both legs after each jump. Keep your hands on
your hips the entire time
2.3 Equipment
The experimental procedures included measurements of ground reaction force using an
Advanced Mechanical Technology, Inc. (AMTI) force plate (AccuGait, Watertown,
MA, USA) with a sampling frequency at 1000 Hz.
A variety of measures can be used to assess jumping performance. According to the

interviewees, these measures include jump height, flight time, peak force, peak
velocity, peak power, and time to peak. One of the most common measures to evaluate
is vertical jumping height, due to the ease of data collection, analysis, and interpretation
of critical information such as the athlete’s mechanical properties [7], their symmetry
and balance [6], and even their general talent level [8].
In this study, we evaluate jump height as the preferred measure of jumping per-
formance. Jump height was calculated based on the ground reaction force (GRF) in the
z-axis (see [10] for details on the calculation of jump height based on flight time). The
process used to calculate jump height was as follows:
(1) Identify the flight time tf by looking for the time period with the vertical GRF at
approximately level of zero. As illustrated in Fig. 1, the segment of the flight time
period is illustrated in maroon, whose length is the flight time tf for this jump trial;
Fig. 1. Flight time determination based on vertical GRF for a countermovement jump.
(2) Based on the kinematic equation of free fall, the jump height can be calculated as
follows, where g represents the gravitational constant.
1 tf 2 1
H¼ g ¼ gtf 2
ð1Þ
2 2 8
3 Descriptive Summary
Table 2 displays summary statistics for jump height for the 22 participants in the study.
The countermovement jump had the highest mean jump height (M = 0.3762), while the
single leg jumps had the lowest mean jump heights (Mright = 0.1715; Mleft = 0.1708).
Jump height was most consistent across the participants (as demonstrated by low
standard deviation) for the single leg jumps. The highest variability in jump height
across players was found in the fourth plyometric jump.
Table 2. Jump height (meters) descriptive statistics by jump type (N = 22).

Jump type Min Max Mean SD
Countermovement 0.2385 0.5178 0.3762 0.0720
Depth 0.2324 0.4923 0.3466 0.0729
Single leg (Right) 0.0795 0.2795 0.1715 0.0505
Single leg (Left) 0.0875 0.2694 0.1708 0.0479
Plyometric jump 1 0.2195 0.5171 0.3633 0.0726
Plyometric jump 2 0.1675 0.1409 0.2834 0.0693
Plyometric jump 3 0.1879 0.4795 02876 0.0762
Plyometric jump 4 0.0962 0.4684 0.2799 0.0857
4 Baselining Profile
A baseline profile for a single participant is in Table 3. The baseline includes the
participant’s performance on each jump trial for each jump type. The data shown is the
jump height, calculated using ground reaction force in the z-direction. The baseline
profile for a single participant is representative of what sports performance personnel
would utilize to assess an individual athlete.
Table 3. Baseline profile of jump height (meters) for single participant.

Jump type Trial 1 Trial 2 Trial 3 Mean SD
Countermovement 0.4945 0.5229 0.5309 0.5161 0.0191
Depth 0.4097 0.3928 0.4775 0.4267 0.0448
Single Leg (Right) 0.2527 0.2595 0.2778 0.2634 0.0130
Single Leg (Left) 0.2595 0.2686 0.2561 0.2614 0.0065
Plyometric Jump 1 0.5070 0.5261 0.5181 0.5171 0.0096
Plyometric Jump 2 0.4312 0.4139 0.3616 0.4022 0.0362
Plyometric Jump 3 0.4852 0.4775 0.4759 0.4795 0.0050
Plyometric Jump 4 0.4821 0.4503 0.4729 0.4684 0.0164
Jump performance can also be plotted over time to provide a more complete
assessment of the athlete at the time of baselining. Figures 2, 3, 4, 5 and 6 show vertical
ground reaction force over time for the same single participant baselined in Table 3.
For each jump type, the participant’s trial that resulted in the highest jump height is
represented in each figure.
According to many of the 100+ strength and conditioning coach practitioners,
understanding how each player moves biomechanically is a critical component for
implementing the proper training regimen, not just for the team, but for individual
Fig. 2. Countermovement jump: baseline performance of vertical ground reaction force (N) over
time (s). Participant jump height is 0.5309 m.
Fig. 3. Depth jump: baseline performance of vertical ground reaction force (N) over time (s).
Participant jump height is 0.4775 m.
athlete performance training needs. Strength coaches will look at jump data, as
demonstrated in Figs. 2, 3, 4, 5 and 6, and identify some of the more obviously
quantifiable metrics such as ground reaction forces and jump height as well as other
Fig. 4. Single leg (Right) jump: baseline performance of vertical ground reaction force (N) over
Fig. 5. Single leg (Left) jump: baseline performance of vertical ground reaction force (N) over
critical performance indicators such as an athlete’s explosive jumping power (i.e. how
quickly they get off the ground). Figure 6, the plyometric jump, demonstrates how
strength coaches can assess this performance indicator via consecutive jumps in a
Fig. 6. Plyometric jump: baseline performance of vertical ground reaction force (N) over time (s).
Participant jump heights for the four sequential jumps are 0.5070, 0.4312, 0.4852, and 0.4821 m.
single trial. One collegiate-level football strength coach addresses this quickness
indicator as a predictor for an athlete’s ability to respond in a “game of quickness,”
meaning, if an athlete’s jumping reaction time is limited, so too will the athlete’s ability
to react to an opposing player’s movements during a practice or game scenario.
Another coach stated that “touching the ground extremely briefly and still getting back
up to maximum height is a major predictor of athletic success.”
However, for athletes who don’t exhibit consistency between jump heights or time
between jumps, the strength and conditioning staff can use the information to adjust an
athlete’s workout regimen to include more strength-based training. This is done with a
goal to improve overall jumping as well as more control- and speed-based exercises
that will improve leg and landing control while minimizing time needed to get off of
the ground. As these force plate data collection studies demonstrate, movement
baselines allow practitioners to quickly assess an athlete’s performance improvements
after additional training has occurred. Ideally, properly focused training will be
demonstrated via greater max jump heights and—sometimes more importantly—
greater consistency between jumps. For athlete’s not showing improvements against
their baseline profile, the training staff will know to observe the athlete more carefully
and determine if the athlete is either non-compliant (resistant to the training), has
potential health or movement limitations (a cumulative joint or limb segment injury), or
if the training program is simply ineffective.
While baselining is critical for these practitioners in understanding performance,
baselining is also necessary for predicting and potentially mitigating injuries. “Mus-
cular imbalances, especially in the legs, can lead to injuries,” was stated by one coach
regarding the importance of understanding lower body symmetry. Many interviewees

stated that they spend the majority of day working with specific athletes to correct their
asymmetries. Detecting that asymmetries even exist between an athlete’s legs is another
critical reason why strength coaches baseline athletic movement. Depending on the
sport or position played, some asymmetries are required. Too much asymmetry,
however, indicates a potential weakness or overcompensation. The single leg jumps for
right (Fig. 4) and left legs (Fig. 5), also shown in Table 3, demonstrate how symmetry
information can be determined and used to modify training for specific athletes in order
reduce differences between independent leg jump height and explosiveness off the
ground. For this participant, though the force used varied between legs for the single-
leg hop, the average jump height across trials was very similar.
“Asymmetries and take-off velocities are used to generate baselines against any low
leg injuries,” stated one trainer who works at a consultant training agency. In the event
a lower body injury does occur, without movement baseline information available,
trainer interviewees admitted that they would often be required to rehab the athlete
using the non-injured leg as a gauge for recovery and preparedness. But with a
baseline, especially a frequently updated movement measurement, trainers can then use
past performance as an indicator of recovery percentage thereby providing more
meaningful information to the head coach about return to play timeframes. While
movement information as shown for a single participant in Figs. 2, 3, 4, 5, 6 is
important to have, more important is having that information captured at critical times
throughout the season and off-season. (a) When an athlete enters the training program
for the first time, (b) before the intense portion of the summer workouts begin, (c) after
summer workouts or before fall camp, (d) during the season, (e) at the end of season,
(f) at the end of the postseason or before spring training, (g) after spring training,
(h) and beginning over again before summer practices are all critical times for
baselining football athletes to ensure the most resent information can be used to gauge
injury recovery as well as general performance improvement. A collegiate or profes-
sional football training culture that highly values data collection for baselining and also
has the equipment budget along with the personnel to perform all these tests per year
will have a distinct advantage regarding both sides of athlete movement management:
performance and injury mitigation.
5 Conclusions
Baselining movement to capture information about athlete performance and potential

risk of injury is critical for most sports. In particular, the researchers on this team
worked directly with an NCAA Division 1 football program in order to investigate and
understand more about baselining athlete movement profiles using five different types
of jump tests on a force plate prior to beginning of the athletes’ summer training
sessions. Through this academic and athletic collaboration, the team was able to create
an aggregate sampling baseline of jump test data across all football positions and
determine information about the group in terms of where consistency and variabilities
reside. While this paper is but the beginning of a larger study for what can be evaluated
across age of the players and their specific position/skill type, it provides a
demonstration of the type of information that is critical for strength and conditioning
coaches as they look to compile their athlete baselines and generate a “measuring stick”
for what success looks like across the team and for each individual team member. The
benefits for generating a baseline using multiple jump tests aligns with the practitioner
interviews in that the researchers could immediately identify consistencies in both
explosiveness and jump height as well as in lower body symmetries. Ultimately, the
goal of the football strength staff that was an integral part of this research team as well
as most coaches and trainers interviewed is to maximize performance while minimizing
risk. Baselining through basic movements like jump tests and accessibility technology
like force plates makes that a much more plausible possibility given the frequency at
which data collection would need to occur to experience true success.
There are certainly some roadblocks for creating a true movement baseline. The
biggest being that this research team only scratched the surface, so to speak, with the
amount of data that should be collected and movement captured in order to know
everything about an athlete’s true movement profile. Running and agility are recog-
nized metrics for when an athlete is ready to return-to-play post-surgery and injury
recovery. Jump tests alone won’t capture all of this information. Asymmetries detected
in lateral movements may not be identified in jumps so a much more thorough model
using other technologies may be required to complete a true assessment. Also, while
the lower body is a closed system and a well-trained strength and condition coach can
make inferences about what’s happening at the knee, hip, and lower back all based on
movement at the foot and ankle, only sensitive technologies such as motion capture
cameras and full body sensors can truly identify what’s happening at individual joints
and limb segments. But despite not being a complete picture, many practitioners agree
that the force plate is the best starting point for data collection and getting the most
impact from an efficiency and economical perspective.
References
1. Luczak, T., Saucier, D., Burch, R., Ball, J., Chander, H., Knight, A., Wei, P., Iftekhar, T.:
Closing the wearable gap: mobile systems for kinematic signal monitoring of the foot and
ankle. Electronics 7(7), 117 (2018)
2. Boullosa, D., Abreu, L., Conceicao, F., Cordero, Y., Jimenez-Reyes, P.: The influence of
training background on different rate of force calculations during countermovement
jump. Kinesiology 50, 90–95 (2018)
3. Kiesel, K.B., Butler, R.J., Plisky, P.J.: Prediction of injury by limited and asymmetrical
fundamental movement patterns in american football players. J. Sport Rehabil. 23, 88–94
(2014)
4. Sinclair, J., Rooney, E., Naemi, R., Atkins, S., Chockalingam, N.: Effects of footwear
variations on three-dimensional kinematics and tibial accelerations of specific movements in
american football. J. Mech. Med. Biol. 17(2), 1–16 (2017)
5. Kruszewski, M., Kruszewski, A., Kuzmicki, S., Korczak, R., Tabecki, R., Landowski, K.,
Sitek, P.: The effectiveness of kettlebell exercises in the aspects of special efficiency training
in american football. Baltic J. Health and Phys. Act. 9(3), 53–62 (2017)
6. Loturco, I., Contreras, B., Kobal, R., Fernandes, V., Moura, N., Siqueira, F., Winckler, C.,
Suchomel, T., Pereira, L.A.: Vertically and horizontally directed muscle power exercises:
relationships with top-level sprint performance. PLoS ONE 13(7), e0201475 (2018)
7. Kobal, R., Nakamura, F.Y., Kitamura, K., Cal Abad, C.C., Pereira, L.A., Loturco, I.:
Vertical and depth jumping performance in elite athletes from different sport specialties. Sci.
Sport. 32, e191–e196 (2017)
8. Woods, C.T., Raynor, A.J., Bruce, L., McDonalt, Z., Robertson, S.: The application of a
multi-dimensional assessment approach to talent identification in australian football. J. Sport
Sci. 34(14), 1340–1345 (2016)
9. Jiménez-Reyes, P., Samozino, P., Brughelli, M., Morin, J.B.: Effectiveness of an
individualized training based on force-velocity profiling during jumping. Front. physiol. 7,
677 (2017)
10. Simpson, J.D., Miller, B.L., O’Neal, E.K., Chander, H., Knight, A.C.: Ground reaction
forces during a drop vertical jump: impact of external load training. Hum. Mov. Sci. 59, 12–
19 (2018)
Synergistic Effect on the Characteristics
of the Seductive Appearance
Fuminori Matsuura1, Yumie Osada2, Isao Matsumoto1,

Yoshinori Hirano2, Xiaodan Lu3(&), Hiroyuki Hamada4,
and Noriyuki Kida4
1
FIVE APPLE, 1-11-23-702, Nishinakajima, Yodogawa-ku Osaka-shi,
Osaka 532-0011, Japan
2
NPO corporation Five Elements Japan, 1-11-23-702, Nishinakajima,
Yodogawa-ku Osaka-shi, Osaka 532-0011, Japan
3
Chuo Business Group Co., Ltd., 1-6-6 Funakoshicho, Chuo-ku, Osaka, Japan
luxiaodan0223@gmail.com
4
Kyoto Institute of Technology, Matsugasaki, Sakyo-ku, Kyoto, Japan
Abstract. Numerous reports on kinematic and kinematical analysis of walking

with prosthetic leg prosthesis have been made. In recent years, the necessity for
analysis of running behavior such as jogging and sprints has become high. The
purpose of this study was to evaluate the ground reaction force from the
obtained value and to investigate the change of the ground reaction force pattern
during running. We conducted experiments by placing two 9 axis motion sen-
sors (manufactured by Logical Products, Inc.) on the prosthesis of the subject at
the socket part and the foot part.
Keywords: Prosthesis runners Motion sensors Ground reaction force
1 Introduction
The kinematic and kinematic analysis of walking with the prosthetic leg prosthesis has
been reported many times in recent years. However, participation in disabled sports and
other people represented by the Paralympic Games was promoted, and not only normal
walking but also necessity for analysis in running behavior such as jogging and sprints
has been increased. In motion analysis during running, research methods using optical
motion capture devices and ground reaction force meters are often used. However, the
above devices are limited to measurement in a laboratory environment, and it is difficult
to quantitatively evaluate the actions in actual scenes and daily practice situations.
In recent years, MEMS technologies such as acceleration sensors and gyroscopes
have evolved remarkably, and the feasibility of experiments that are not confined to the
measurement environment has been increased due to downsizing and low price.
However, there is a problem that drift components are included in the values obtained
by the acceleration sensor. Therefore, a three-dimensional posture estimation method
using various filters, a method using a complementary filter, and the like have been
proposed. For the prosthetic sprinter, a method of estimating the ground reaction force
and the like using the value of the motion sensor, etc., have been proposed1). In recent

https://doi.org/10.1007/978-3-030-20145-6_34
346 F. Matsuura et al.
years, prosthesis runners wear various prosthetic parts and do training. Prosthesis
runners need to consider the conditioning of the body and prosthetic limbs. In recent
years, it became easy to acquire data using an acceleration sensor or the like, and data
could be accumulated on a daily basis.
The method of estimating the ground reaction force from the obtained motion
sensor was calculated. First, the initial angle of the motion sensor for 1 s in the static
state just before the start was calculated, and the attitude angle was calculated from the
acceleration in the direction of gravity. Next, as for the angle during running, it was set
to integrate the value of the motion sensor angular velocity around the X axis. For
removal of the drift component, which is the integral error, we eliminated the trend
using linear approximation method. We estimated the amount of displacement of the
prosthetic limb using the value of the motion sensor affixed to the lower part of the
prosthesis socket and estimated the vertical component of the ground reaction force
from the estimated value of this displacement. In this study, we estimated by using
angular velocity information centered on acceleration vertical component and foot
contact point.
In this research, we will collect data on the running of the prosthetic runner over
time, quantitatively evaluate the training effect on a future goal, to target one runner to
the back of the waist and the prosthetic socket We aimed to investigate the change of
the ground reaction force pattern during running by attaching an accelerometer, esti-
mating the ground reaction force from the obtained value.
2 Experiments
One male subject with 172 cm tall and 65 kg weight was prepared. The experimental
subject was a jogging run at the indoor gymnasium as shown in Fig. 1. The pace of
jogging was a pace at which the target person could run comfortably, and he ran a
100 m lane running for 30 min.
Using a digital camera (Ex-100 Pro, manufactured by Casio), so that the experi-
mental collaborators took photos at 240 fps the subjects reflected the whole body of the
target.
The prosthetic limbs which were used by the subjects in their regular exercises were
used for the experiments. The experiments were conducted by placing two 9 axis
motion sensors (manufactured by Logical Products, Inc.) on the prosthesis of the
subject at the socket part and the foot part. The motion sensor used in this experiment
can measure acceleration, angular velocity, and geomagnetism on each of three axes,
and in the present study acceleration and speed data of them were used. For the
acceleration direction of the motion sensor, the horizontal direction was set as the X
axis, the front and back direction was set as the Y axis and the vertical direction was the
Z axis for each segment. For the X axis, the left direction is positive, for the Y axis the
front is positive and for the Z axis the down direction is positive. Regarding the angular
velocity, the clockwise direction from the origin of the acceleration axis was taken as
positive. Data was collected at sampling frequency 200 Hz.
Synergistic Effect on the Characteristics of the Seductive Appearance 347
Fig. 1. Photos of experimental views.

3 Results
Figures 2 and 3 show routine value of 6 steps during running obtained from a motion
sensor installed in the prosthesis socket. Figure 2 shows the acceleration of each axis.
The acceleration from the top is x, y, z axis. Figure 3 shows angular velocity values of
each axis. The angular velocity values for the x, y, and z axes are in order from the
top. The initial attitude was obtained using this angular velocity data, the attitude angle
of the motion sensor was calculated from the initial attitude and angular velocity data,
and drift removal of the drift component was performed.
Fig. 2. Acceleration of each axis. (from the top is x, y, z axis.)

Fig. 3. Angular velocity values of each axis. (x, y, and z axes are in order from the top).
Figure 4 is the result of the attitude angle of the motion sensor. It is the value after
drift removal. Next, the acceleration of the vertical direction component of the global
coordinate system was calculated using this value and the values of the X-axis com-
ponent of the angular velocity and the Z-axis component of the acceleration obtained
from the motion sensor. The result is shown in the Fig. 5. This figure is the estimate of
the acceleration of the vertical component of the global coordinate system. By inte-
grating this value, the amount of displacement in the vertical direction in the global
coordinate system of the motion sensor affixed to the prosthetic socket was estimated.
Furthermore, the ground time and the detachment time are discriminated from the value
of the acceleration in the Z axis direction obtained from the motion sensor, and the
integrated value of the prosthetic foot displacement amount and the integrated value of
the motion sensor acceleration Z axis component attached to the body and the body
mass. The spring constant was obtained using the value ratio. The vertical component
of the ground reaction force was calculated from the spring constant estimated by this
procedure and the amount of displacement of the prosthetic foot part.
Fig. 4. Result of the attitude angle of the motion sensor
Fig. 5. Estimate of the acceleration of the vertical component of the global coordinate system
Figure 6 is an estimate of the f ground reaction force vertical component in the

global coordinate system during running. Figure 7 is an estimate of the ground reaction
force vertical component in the global coordinate system during running. There are
three stages; the first half, the middle stage, and the latter half. From the middle stage to
the latter half it is observed that the contact time is longer compared to the first half. In
the first half and the middle stage, the pattern of the ground reaction force estimate is
similar. It turned out that the ground reaction force value in the latter half of the ground
is relatively low at the end.
Fig. 6. Estimate of the ground reaction force vertical component in the global coordinate system
during running.
first half middle stage latter half
1200
1000
GRF Vertical Component [N]
800
600
400
200
0
0 0.1 0.2 0.3
Time [s]
Fig. 7. Estimate of the ground reaction force vertical component in the global coordinate system
during running
4 Conclusion
First, we can estimate the vertical component of the ground reaction force in the global
coordinate system during running using the motion sensor. In addition, since there was
a difference in the change pattern of the ground reaction force in the first half, middle
stage and the second half of running, it suggested the possibility of extracting the form
change during running.
However, as a limit of this research, since simultaneous measurement using the
actual ground reaction force meter is not yet implemented, it is necessary to verify the
validity of the estimation. In addition, in order to enable measurement in a daily
environment, it is necessary to further reduce the size and weight of the sensor, and to
make it easier to mount on the body.
Finally, as a prospect, although problems and limitations are seen as described
above, if further improvement is to be promoted in the future and it becomes possible to
evaluate in real time by combining with devices such as smartphones, realization of
conditioning and the like corresponding to change of running form It is considered to
be connected.
Reference
1. Takahashi, M., Onodera, R., Katsuhira, J., Honte, R., Terada, K., Suda, H., Maeda, Y.,
Mimura, N.: Investigation of analysis method of prosthetic running using motion sensors
(Derivation of ground reaction force estimation value through all running process). Trans.
JSME (in Japanese) 84(865), 18-00215 (2018)
Effective Measures for Minimizing
Playing-Related Musculoskeletal Disorders
Among Tertiary Education Student Pianist
in Malaysia
Titi Rahmawati Hamedon1(&), Chia-Ying Ling2,

and Fung-Chiat Loo1
1
Universiti Putra Malaysia, 43400 UPM Serdang, Selangor, Malaysia
titi_rahmawati2006@yahoo.co.uk
2
43400 UPM Serdang, Selangor, Malaysia
Abstract. The risk of developing playing-related musculoskeletal disorders

(PRMD) can be reduced by taking break in between practicing sessions. The
study aimed to determine the level of knowledge on PRMD and its associated
factors. The cross-sectional study was done among 192 randomly selected
subjects. Data was collected by face to face interview method using pre tested
questionnaire. Most of respondents are female (84.9%), young (median age is 20
years), practice piano for <3 h/day (53.1%) and 91.7% of them take break in
between their practice. Most of them are aware of PRMD (76%) and most heard
it from their teachers. Significant association was found between PRMD and
practice habit of <3 h/day, taking break in between practice, doing physical cool
down after practice and taking dietary supplements. This finding indicate that
simple measures like limiting the duration of piano practice time and taking
break in between practicing piano can help to prevent muscle tiredness that may
contribute to PRMD.
Keywords: Playing-related musculoskeletal disorders Student pianist

Break Effective measures
1 Introduction
To be excellent musicians need to practice. Practice makes perfect, but prolong practice
of music instruments without proper break may increase the risk of developing playing-
related musculoskeletal disorders (PRMD) among them. PRMD is a form of repetitive
strain injury caused by repetition of a certain action or movement of body [1]. Rest
period in between practice time can reduce muscle fatigue, the time where muscles can
relax. About 30% to 90% of musicians suffer from injury in the shoulder-arm-hand
region and the spine [2]. Musicians such as pianists, guitarists, and string players, show
a higher incidence of PRMDs compared to others [3–7]. Intense piano practice,
especially at the time of impending big events such as concerts, the stress and per-
formance anxiety that come with it [8] can increase the intensity, duration and repet-
itiveness of muscular activities, which may affect musculoskeletal health.

https://doi.org/10.1007/978-3-030-20145-6_35
354 T. R. Hamedon et al.
Various factors may also increase the risk of developing PRMD. Among the factors
are knowledge and awareness on PRMD. Young pianist students have a long career in
front of them. They have to be aware about this condition and the way to prevent it.
Unlike elsewhere [3] in Malaysia this issue had not been much studied before. PRMD
that is severe and not treated may affect daily activities and music playing performance.
The objective of this study is to determine the level of knowledge on PRMD among
classical pianist students in tertiary education institutions in Selangor and Kuala
Lumpur. Specifically, the aims are (i) determine the socio-demographic of the
respondents, (ii) determine their lifestyle (iii) determine their piano practice habits
(iv) determine the associations between the level of knowledge on PRMD and the
sociodemographic, lifestyle and practice habits.
2 Methodology
This is a cross-sectional study conducted among the tertiary level classical pianist
students in Kuala Lumpur and Selangor Malaysia. A number of 192 students were
selected randomly from eight institutions. Students who were not available for valid
reasons at the time of data collection were excluded. A self-administrated paper-based
questionnaire was used to collect the data. The questions include sociodemographic
characteristics, lifestyles and piano practice habits. The questions were adapted from
different sources based on literature review [7, 9, 10]. The knowledge assessment
section have 5 questions where the cutoff point was based on the median score. Data
were analyzed using the IBM Statistical Package for Social Science (SPSS) version 22.
Descriptive statistics, chi square test and binary logistic regression analysis were used.
Permissions obtained from the deans of each selected institutions, while all respondents
submitted written informed consent prior to recruitment into the study.
3 Results
Of 311 eligible respondents, 192 (61.7%) responded and returned the completed
questionnaire. The sociodemographic characteristics of the respondents are as shown in
Table 1. Most of them are 20 years old or younger, female, studying for degree
program, and mainly in their first and second year of studies. The average duration of
learning piano is 13 years. Most of them 146 (76%) knew that piano playing can cause
PRMD. In this study 35.4% of respondents have PRMD affecting at least one part of
their body.
Effective Measures for Minimizing Playing-Related Musculoskeletal Disorders 355
Table 1. Sociodemographic features and piano practice habits of the respondents (N = 192)
Variable Number Percentage (%)
Age (year)
Range 18–27
18–20 107 55.7
21–23 77 41.1
>23 8 4.2
Gender
Male 29 15.1
Female 163 84.9
Race
Malay 18 9.4
Chinese 159 82.8
Others 15 7.8
Program attended
Foundation 5 2.6
Diploma 89 46.4
Degree 98 51.0
Year of study
1 72 37.5
2 72 37.5
3 42 21.9
4 6 3.1
Practice daily
Yes 181 94.3
No 11 5.7
Table 2 shows those who practice less than 3 h have less PRMD compared to those
who practice piano longer than 3 h (p < 0.05). In addition taking a break in between
practice time significantly reduce PRMD (p < 0.05).
Table 2. Associations between piano practice habits and PRMD (N = 192)

Practice habit PRMD p-value
No (n = 124) Yes (n = 68)
Duration (hour)
<3 73 (65.1) 29 (34.9) 0.031*
3 51 (56.7) 39 (43.3)
Taking break
Yes 110 (62.5) 66 (37.5) 0.045*
No 14 (87.5) 2 (12.5)
Do physical warm up
Yes 52 (57.8) 38 (42.2) 0.064
No 72 (70.6) 30 (29.4)
Physical cool down
Yes 22 21 0.037*
No 102 47
Significant at p < 0.05
356 T. R. Hamedon et al.
4 Discussion
In this study majority of respondents are female (84.5%), which is comparable to other
studies where more females (62.9%) learnt musical instruments than males [11]. In this
study most of respondents knew about PRMD (76%) and 35.4% have some degree of
PRMD. This finding is comparable with other studies that reported 38.5% of non-
professional musicians have PRMD [9]. Knowing the condition will help to identify its
signs and symptoms, and looking to ways to treat it.
Practicing piano, especially if done intensively will put extra strains on affected
muscles and tendons and may results in a compromised musculoskeletal health. One of
the primary risk factors of PRMD is overuse of muscles [12], which is seen in the
results of this study where respondents who practice 3 h reported to have more
PRMD (Table 2). Intensive use of muscles without break will cause it to contract and
relax with different intensity and duration and might results in muscle pain
development.
Another important risk factor for PRMD is taking a break in between practices,
which is important as it allow muscle to relax. In our study significant association is
shown between taking break and report of having PRMD. Those respondents who
practice less than 3 h answered ‘no’ to reporting PRMD (p = 0.031). By taking a
break, even if it is a very short one, will relax the muscles, especially the finger flexors
which are used heavily when practicing piano. This will also reduce fatigue and
overuse.
Doing physical cool down was also shown to have significant association with
reporting less PRMD (Table 2) (P = 0.034). Physical cool down or cooling down is an
easy exercise, done after a more intense activity, to allow the body to gradually
transition to a resting or near resting state [13]. Study had shown athletes who per-
formed an appropriate cool down are less likely to become injured. Cooling down will
also return muscles to their optimal length-tension relationships. Some studies had
shown that physical warm up may reduce the risk of getting muscle injury after
vigorous exercise. However our study showed no significant association between doing
physical warm up and reporting having PRMD. In conclusion, limiting practicing time
of playing piano, taking a break in between and cooling down after practicing are
helpful in preventing PRMD [14–16]. All the three actions are easy to carry out and
simple to do. Furthermore it do not need cost to practice. Therefore the habits should be
encouraged among tertiary student pianists and others who do frequent actions that
require repetitive muscle use.
References
1. Moulton, B., Spence, S.H.: Site-specific muscle hyper-reactivity in musicians with
occupational upper limb pain. Behav. Res. Ther. 30(4), 375–386 (1992)
2. Zaza, C.: Playing-related musculoskeletal disorders in musicians: a systematic review of
incidence and prevalence. CMAJ 158, 1019–1025 (1998)
3. Dommerholt, J.: Performing arts medicine- instrumentalist musicians Part 1 - general
considerations. J. Bodywork Mov. Ther. 13, 311–319 (2009)
Effective Measures for Minimizing Playing-Related Musculoskeletal Disorders 357
4. Bragge, P., Bialocerkowski, A., McMeeken, J.: A systematic review of prevalence and risk
factors associated with playing-related musculoskeletal disorders in pianists. Occup. Med.
56, 28–38 (2006)
5. Cayea, D., Manchester, R.A.: Instrument-specific rates of upper-extremity injuries in music
students. Med. Probl. Perform. Art. 13(1), 19–25 (1998)
6. Morse, T., Ro, J., Cherniack, M., Pelletier, S.R.: A pilot population study of musculoskeletal
disorders in musicians. Med. Probl. Perform. Art. 15(2), 81–85 (2000)
7. Zaza, C., Farewell, V.T.: Musicians’ playing-related musculoskeletal disorders: an
examination of risk factors. Am. J. Ind. Med. 32, 292–300 (1997)
8. Yoshie, M., Kudo, K., Murakoshi, T., Ohtsuki, T.: Music performance anxiety in skilled
pianists: effects of social-evaluative performance situation on subjective, autonomic, and
electromyographic reactions. Exp. Brain Res. 199, 117–126 (2009)
9. Allsop, L., Ackland, T.: The prevalence of playing-related musculoskeletal disorders in
relation to piano players’ playing techniques and practicing strategies. Music Perform. Res. 3
(1), 61–78 (2010)
10. Shields, N., Dockrell, S.: The prevalence of injuries among pianists in music schools in
Ireland. Med. Probl. Perform. Art. 15(4), 155–160 (2000)
11. Ranelli, S., Straker, L., Smith, A.: Playing-related musculoskeletal problems in children
learning instrumental music: the association between problem location and gender, age, and
music exposure factors. Med. Probl. Perform. Art (2011). https://pdfs.semanticscholar.org/
d43e/251d17719ac30b67c4d8f1d1276e253811e6.pdf
12. Scott, C.: Repetitive strain injury. https://web.eecs.umich.edu/*cscott/rsi.html. Accessed 30
Jan 2019
13. Wikipedia: Cooling down (2019). https://en.wikipedia.org/wiki/Cooling_down. Accessed 25
Feb 2019
14. Ling, C.Y., Loo, F.C., Hamedon, T.R.: Knowledge of playing-related musculoskeletal
disorders among classical piano students at tertiary institutions in Malaysia. Med. Probl.
Perform. Artist. 31(4), 201–204 (2016)
15. Ling, C.Y., Loo, F.C., Titi Rahmawati Hamedon, M.D.: Playing-related musculoskeletal
disorders among classical piano students at tertiary institutions in Malaysia. Med. Probl.
Perform. Artist. 33(2), 82–89 (2018)
16. Ling, C.Y., Loo, F.C., Hamedon, T.R.: Global journal of arts education. Education 6(2), 33–
38 (2016)
The Effects of University Students’ Physical
Activity Experience on Communication Skills
and Anxiety
Jun Egawa1(&), Yasuyuki Hochi2, Takumi Iwaasa3, Emiko Togashi4,

Kentaro Inaba3, and Motoki Mizuno3,5
1
Kanda University of International Studies PE Center, Chiba, Japan
egawa-j@kanda.kuis.ac.jp
2
Japan Women’s College of Physical Education, Tokyo, Japan
3
Graduate School of Health and Sports Science, Juntendo University,
Chiba, Japan
4
Chiba Prefectural University of Health Sciences, Chiba, Japan
5
Faculty of Health and Sports Science, Juntendo University, Chiba, Japan
Abstract. In this study, we will focus on extracurricular activity experiences as

a result of taking a physical activity. In recent years, the Japan Business Fed-
eration has stressed the importance of communication skills for Japanese uni-
versity students. However, the effect of physical activity on communication
skills and feelings of anxiety due to physical activity experience is not suffi-
ciently considered in Japan. Therefore, the purpose of this study is to examine
the effects of physical activity experiences, especially on communication skills
and feelings of anxiety (State-Trait anxiety). This study compared the degree of
progress of communication skills and feelings of anxiety of the intervention
group, consisting of students who participated in extracurricular activities, with
the control group who did not engage in any sports clubs. The subjects were
about 500 students aged 18 to 23 at a university in the Kanto region of Japan.
A paper-based survey asked respondents about extracurricular activity experi-
ences and sport performed in their school days, what type of sport they did, how
frequently they engaged in sport, and the purpose of engaging in sport. The
survey also consisted of a “communication skills scale” developed by Fujimoto
et al. (2007) and the STAI (State-Trait Anxiety Inventory) developed by
Charles D. Spielberger (1983), which was a well-known questionnaire designed
to evaluate anxiety. The communication skill scale was divided into six factors:
“self-control”, “expressiveness”, “decipherability”, “self-assertion”, “acceptance
of others”, “relationship adjustment”. Our data shows correlations between the
amount of sports activities and the improvement of communications skills, as
well as a decrease in anxiety. Thus, we conclude that group sport activities seem
to help students improve their communication skills and to lower their anxiety.
Keywords: Physical activity experience Communication skills Anxiety

University student

https://doi.org/10.1007/978-3-030-20145-6_36
The Effects of University Students’ Physical Activity Experience 359
1 Introduction
In this study, we will focus on extracurricular activity experiences as a result of doing a

physical activity. Shimamoto et al. [1] focused on sports club activities at universities
and examined the causal relationship between individual sports experiences and life
skills acquisition in sports club activities in prior research in extracurricular activities
involving physical activity. In conclusion, it suggests that there is a mutual causal
relationship between sports experience and life skills in extracurricular activities.
Namba et al. [2] studied female university students to determine how much past sports
activity experience and current physical activity affect current aerobic capacity. As a
result, continuing sports activities for at least three years affects the physical strength
after adulthood, and states that continuous efforts from elementary school students to
university students are necessary as an environment for health promotion. As a past
study in communication skills, Goto et al. [3] organized the communication actual
situation of university students from the viewpoint of the interpersonal situation of
university students and the communication situation. As a conclusion, it clarified that
university students are generally not good at communicating with people who they meet
for the first time, how to interact with elders, and communication with casual
acquaintances. The Japan Business Federation has stressed the importance of commu-
nication skills for Japanese university students. Hamano et al. [5] measured state anxiety
during normal times, before the start of a competition, and after a competition in
research on physical activity (sports) and anxiety emotions, and if there was any relation
between the results of the competition and anxiety. At the end of the competition, the
state-anxiety tended to be lower after winning games, and higher after losing games than
before the competition started. Also, it is accepted that pre-game conditions of anxiety of
important games tend to be high. However, in the previous studies, there is no study that
examines how previous physical activity experiences up to university level are con-
nected to and affect current communication skills and anxiety feelings. Therefore, the
purpose of this study is to examine the effects of physical activity experience, especially
on communication skills and feelings of anxiety (State-Trait anxiety).
2 Methods
2.1 Subject
The subjects were 494 students aged 18 to over 22 at a university in the Kanto region of
Japan. Among them, 462 people (93.5% effective response rate) who were able to
receive a complete response were included in the analysis (Table 1).
Table 1. Gender and age groups of the subjects

Subject All Gender (n = 462) Age (n = 461)
Male Female 18 19 20 21 Over 22
% 53 409 129 187 58 57 30
11.5 88.5 27.9 40.5 12.6 12.3 6.5
360 J. Egawa et al.
2.2 Measures
A paper-based survey asked respondents about extracurricular activity experience and
sport performed in their prior school days, what type of sport they did, how frequently
they engaged in sport, and the purpose of engaging in sport. The survey also consisted
of a “communication skills scale” developed by Fujimoto et al. (2007) and the STAI
(State-Trait Anxiety Inventory) developed by Charles D. Spielberger (1983), which is a
well-known questionnaire designed to evaluate anxiety. The communication skill scale
was divided into 6 subscales: “self-control”, “expressiveness”, “decipherability”, “self-
assertion”, “acceptance of others”, and “relationship adjustment”. The responses con-
sisted of 7 levels: “7: Very good”, “6: Good”, “5: Somewhat good”, “4: Normal”, “3:
Somewhat not good”, “2: Hard”, “1: Very hard”. And in this study, 6 subscales were
also analyzed as total communication skills. Cronbach’s a coefficient indicating reli-
ability was confirmed to be sufficient with a = .99, so the total score of six factors was
used as the scale score. STAI: I allow for four answers: “1: Not at all”, “2: Somewhat”,
“3: Moderately”, and “4: Very much”.
2.3 Analysis Procedure

We used all statistics SPSS statistics ver22.0 (used IBM corp.).
3 Results
3.1 Results of the t-Test by Gender

The results of the t-test by gender are shown in Table 2. The subjects of this study were
53 males and 409 females, and gender differences were examined because there was a
bias in the number of people. The test variables were Self-control, Expressiveness,
Decipherability, Self-assertion, Acceptance of others, Relationship adjustment, Total
communication-skills, State-anxiety Trait-anxiety. As a result, a significant difference
was found in Self-control and Trait-anxiety. The Self-control was higher for men, and
the Trait-anxiety was higher for women.
3.2 Results of the Correlation Analysis on Communication Skills

and State-Trait Anxiety
The result of correlation analysis on communication skills and State-Trait anxiety are
shown in Table 3.
There was relatively positive correlation between total communication skills and
subscale of communication skills and between subscales. It was found from the result
that there was no correlation between total communication skills and State-Trait anx-
iety. However, there was negative correlation found between Expressiveness, Self-
assertion and State-Trait anxiety.
Table 2. Result by gender

Study by gender Male (n = 53) Female (n = 409) t(476) p ES
Question item M SD M SD
Self-control 18.92 3.90 17.78 3.93 2.00 0.04* 0.00
Expressiveness 16.68 4.92 16.02 4.48 0.98 0.32 0.03
Decipherability 19.00 4.67 18.84 4.24 0.25 0.80 0.06
Self-assertion 16.15 4.59 15.59 4.33 0.88 0.38 0.02
Acceptance of others 20.34 4.09 19.47 4.36 1.37 0.17 0.02
Relationship adjustment 19.15 4.26 19.03 4.45 0.19 0.85 0.01
Total Communication-skills 108.23 18.56 107.35 19.40 0.31 0.76 0.04
State-anxiety 54.17 10.14 55.35 10.94 0.75 0.45 0.02
Trait -anxiety 52.45 7.99 55.75 9.60 2.39 0.02* 0.07
M: Mean, SD: Standard Deviation, ES: Effect Size, *: p < 0.05
Table 3. The result of correlation analysis on Communication skills and State-Trait anxiety
n A B C D E F G H I
A Self-control 462 - .29** .49** 27** .53** .51** .39** −.05 −.07
B Expressiveness 462 29** - .41** .60** .32** .31** .46** −.16** −.21**
C Decipherability 462 .49** .41** - .41** .53** .56** .42** −.03 −.00
D Self-assertion 462 27** .60** .41** - .33** .30** .37** −.16** − 27**
E Acceptance of others 462 .53** .32** .53** .33** - .77** .44** −.03 −.02
F Relationship 462 .51** .31** .56** .30** .74** - .45** −.05 −.05
adjustment
G Total CS 462 .39** .46** .42** .37** .44** .45** - −.06 .00
H State-anxiety 462 −.05 −.16** −.03 −.16** −.03 −.05 −.06 - .65**
I Trait -anxiety 462 −.07 −.21** −.00 − 27** −.02 −.05 .00 .65** -
**p < .01 *p < .05
3.3 Results of the Kruskal-Wallis by Three School Period

The results of the Kruskal-Wallis test by three school period are shown in Table 4.
Extracurricular sports activities were divided according to school period (group 4: from
elementary, JHS, HS and no exercise habit), and score comparison of total commu-
nication skills, subscale of communication skills and State-Trait anxiety was per-
formed. Kruskal-Wallis was used for the test. The results showed that there were no
significant differences among total communication skills, subscale of communication
skills and State-Trait anxiety due to differences by school period.
362 J. Egawa et al.
Table 4. The result Kruskal-Wallis by three school period

Median
G1 (n = 337) G2 (n = 80) G3 (n = 29) G4 (n = 27) X2 (df = 3) p
Self-control 18.0 17.0 17.0 16.0 4.97 0.17
Expressiveness 16.0 16.0 16.0 16.0 0.79 0.85
Decipherability 19.0 18.0 20.0 17.0 4.35 0.23
Self-assertion 16.0 16.0 16.0 16.0 0.31 0.96
Acceptance of others 19.0 19.0 19.0 19.0 1.06 0.79
Relationship adjustment 19.0 17.0 17.0 17.0 5.22 0.16
Total Communication-skills 105.0 107.0 109.0 107.0 1.31 0.72
State-anxiety 56.00 55.50 17.00 59.00 0.99 0.80
Trait -anxiety 55.00 54.00 55.00 53.00 0.87 0.83
G1: Three periods, G2: Two periods, G3: No exercise habit, G4: one period, *: p < 0.05
3.4 Results of Extracurricular Sports Activities from Elementary School

to High School
The result of extracurricular activities including physical activity from elementary
school to high school. It was found that many students participated in extracurricular
activities including some physical activity in elementary school, junior high school, and
high school (Fig. 1).
H 366
Have done
J 402
E 401
Haven't done
H 88
J 52
E 53
H 8
No answer
H: High school
J 8 J: Junior high school
E: Elementary school
E 8
0 50 100 150 200 250 300 350 400 450
Fig. 1. Results of Extracurricular sports activity experience (n = 462)

3.5 Results of Sports Activities During Three School Periods:

Elementary, JHS, and HS
The results of Sports habits situation by period. It was found from the results that many
students had been doing some extracurricular activities for three school periods and had
belonged to clubs throughout their entire schooling (Fig. 2).
27
29
76
330
Fig. 2. Results of Sports habits situation by three school period (n = 462)
3.5.1 In Case of Elementary School

The results by elementary school are shown in Fig. 3. Swimming was the greatest,
followed by basketball.
3.5.2 In Case of Junior High School

The results by Junior high school are shown in Fig. 4. Basketball was the greatest,
followed by Tennis/Soft tennis, Volleyball and Athletics, etc.
3.5.3 In Case of Junior High School

The results by High school are shown in Fig. 5. Volleyball was the greatest, followed
by Tennis/Soft tennis, Dance and Basketball.
364 J. Egawa et al.
Swimming 6 93
Basketball 2 60
Volleyball 2 31
Tennis, soft tennis 2 28
Dance 0 28
Other 1 27
Gymnastics 1 17
Football 1315
Athletics 1 14
Kendo 2 12
Badminton 0 9
Baseball 6 11
Karate, Shorinji Kenpo 2 5
Soft ball 1 5
Table tennis 0 3
Cheer leading 0 3
Ski 0 3
Aikido 0 2
Horse riding 01
Bicycle 01
Golf 01
Aerobics 01
Rugby 0 2
Futsal 01
0 10 20 30 40 50 60 70 80 90 100
Male Female
Fig. 3. Results of elementary school
Basketball 7 68
Tennis, soft tennis 6 64
Volleyball 2 62
Athletics 1 33
Soft ball 0 20
Other 0 18
Badminton 0 16
Dance 0 16
Swimming 1 14
Kendo 1 14
Football 1314
Gymnastics 0 6
Baseball 5 12
Handball 0 4
Judo 0 2
Cheer leading 0 2
Table tennis 12
Horse riding 01
Karate, Shorinji Kenpo 1
1
Ski 01
Aerobics 01
Archery, Shooting 01
Rugby 0 2
0 10 20 30 40 50 60 70 80
Male Female
Fig. 4. Results of junior high school

Basketball
Dance
Volleyball
Tennis, soft tennis
Other
Athletics
Badminton
Swimming
Handball
Soft ball
Kendo
Football
Cheer leading
Gymnastics
Archery, Shooting
Basketball
Futsal
Mountain climbing,etc
Horse riding
Karate, Shorinji Kenpo
Rugby
Yacht, water ski,etc
Bowling
Free climbing, bouldering
Snowboard
Ski
Aerobics
Aikido
Boxing
Golf
0 5 10 15 20 25 30 35 40 45
Male Female
Fig. 5. Results of high school
4 Discussions and Conclusions
The results of the extracurricular sports activity experiences, sport club involvement by
school level and the type of extracurricular sports activities showed some correlations.
It appears that many students have experience in extracurricular activities and have
continued throughout the three periods of their schooling. Swimming was most popular
in elementary school, basketball in junior high school, and volleyball the highest in
high school. Swimming is probable the most frequent, as swimming pools are installed
in most elementary schools in our island country.
The results of this study were found to be significantly higher for female’s Trait-
anxiety than male. Similar results are described in Nakazawa et al. [6]’s study. In the
result of correlation analysis, there was a relatively positive correlation between total
scores of communication skills and subscales. Also, the result of there was a negative
correlation found among Expressiveness, Self-assertion and State-Trait anxiety. There
was no difference between the total communication-skills subscales, but i will now try
to explain the results of Expressiveness, Self-assertion and State-Trait anxiety a little
further. In recent years, the problem of violence in Japanese sports has been endless.
For example, a coach of a high school basketball club physically punishment a student.
There are also similar reports in the media on high school baseball and Sumo wrestling.
In Japan, the coach’s opinion is absolute, and students rarely give an opinion to the
coach. This may lead to the negative correlation of Expressiveness and Self-assertion.
366 J. Egawa et al.
In the future, we hope that our country will eradicate violence from education and
especially from sports and create socially and physically positive situations in which to
participate.
References
1. Shimamoto, K., Ishii, M.: Estimation of causal relationships between sport experience in
athletic clubs and life skills acquisition. Japan. J. Sport Psychol. 37(2), 89–99 (2010)
2. Namba, H., Kurosaka, Y., Shionoya, Y., Minato, K.: Relationship between estimated
maximum oxygen intake, past sports experience and physical activity in female university
students. Wayo Women’s Univ. Bull. (56), 99–111 (2016)
3. Goto, M., Daibo, I.: Opeirended questions about the communication situation and social
skills. Osaka Univ. Bull. (3), 57–63 (2003)
4. Hayashi, Y., Yamazaki, H., Iwataki, D., Tajima, Y.: Cognition of clumsiness by adolescents
and its relationship to communication skills and adaptation. Showa Women’s Univ. Bull.
(19), 71–82 (2017)
5. Hamano, K., Kawai, T., Tanaka. H., Nakajima, N.: The relationships between state anxiety
under pre- and post-games and athletic performance in Volleyball players on international
games. Juntendo Univ. Sports Sci. Bull. (4), 68–75 (2000)
6. Nakazawa, J., Enomoto, J., Nakamichi, K.: Effects of social problem solving on the
adjustment of university students. Chiba Univ. Bull. (55), 61–69 (2007)
Stress, Mental Factors
and Musculoskeletal Disorders
The Development of a Comprehensive List
of Risk Factors for Hip Work-Related
Musculoskeletal Disorders: Delphi Survey
Ardiyanto Ardiyanto1(&), Steven Lavender1,2, Stephanie Di Stasi3,

and Carolyn Sommerich1,3
1
Department of Integrated Systems Engineering, The Ohio State University,
Columbus, USA
{ardiyanto.1,lavender.1,sommerich.1}@osu.edu
2
Department of Orthopaedics, The Ohio State University, Columbus, USA
3
School of Health and Rehabilitation Sciences, The Ohio State University,
Columbus, USA
roewer.4@osu.edu
Abstract. The purpose of this study was to develop a comprehensive list of risk
factors for lower-extremity work-related musculoskeletal disorders (LE-
WMSDs) in the hip. The comprehensive list of risk factors provided informa-
tion such as specific factors, exposure dosage, and the degree of risk. The
development process used the Delphi method that involved subject-matter
experts in evaluating risk factors from the literature and adding risk factors
based on the expert’s opinion. Eighteen risk factors for LE-WMSDs in the hip
were confirmed through two rounds of Delphi surveying. The results of the
study suggest that occupational risk factors such as lower extremity postures
(i.e., kneeling, sitting, stair climbing, and standing), manual material handling
activities, and whole-body vibration with various exposure dosing are risk
factors for LE-WMSDs in the hip. The results of the study also indicate the
importance of considering worker-specific factors such as body mass index,
gender, medical history, and sports participation as another category of risk
factors for LE-WMSDs in the hip. Furthermore, the results of this study suggest
that the application of the Delphi method offers a possibility for broadening the
state of knowledge for an issue such as risk factors for LE-WMSDs.
Keywords: Risk factors Hip

Lower extremity Work-related musculoskeletal disorders Delphi
1 Introduction
Occupational exposures and worker-specific risk factors are found to be associated with
musculoskeletal disorders in the lower extremity part of the body, including hip, knee,
and ankle. Farmers and construction workers are two examples of occupations that
pose risks for lower extremity work-related musculoskeletal disorders (LE-WMSDs) in
the hip [1, 2]. The effects of occupational exposures are exacerbated by worker-specific
factors such as body mass index [3, 4].

https://doi.org/10.1007/978-3-030-20145-6_37
370 A. Ardiyanto et al.
To reduce the risk of developing musculoskeletal disorders, it is important for

appropriate ergonomic interventions to be utilized that address prominent risk factors to
which workers are exposed [5]. However, there is a paucity of research from which to
draw a comprehensive list of risk factors for the MSDs of the lower extremity [6].
In ensuring the utility of a list of risk factors, such a list should provide information
on specific risk factor items, exposure dosage, and extent of the associated risk. The
risk factor items are the identifiers as expressed using the risk factor names. Occupa-
tional factors associated with LE-WMSDs include such items as lower extremity
postures and activities (e.g. kneeling, squatting, and standing) [7]. Furthermore, risk
depends on the exposure dosage, so exposure duration should also be provided in the
risk factor list [8, 9]. The dosage information gives practitioners (as the users of the list)
an opportunity to quickly determine the acceptable dosage to which a worker could
(likely) safely be exposed to a risk factor [9]. The other information that should be
provided in the list is the extent (degree) of risk. This is essential for providing the list
users with some quantification that can help resolve prioritization issues and to interpret
ergonomics assessment results [5].
Most comprehensive lists of risk factors for musculoskeletal disorders are developed
through a process of an extensive literature review. However, by relying only on the
written knowledge, there is a possibility of information missing due to an incomplete state
of knowledge. On the other hand, involving subject-matter experts’ (SMEs’) judgments
to confirm and advance the results of the literature review offers a possibility to gain
additional information to include in what is intended to be a comprehensive list of risk
factors. Because the SMEs are knowledgeable individuals, they may have unwritten
knowledge and experiences that are valuable to improve the state of knowledge [10].
Approaches such as focus group discussion (FGD) and the Delphi technique are
two methods that are commonly utilized in consolidating multi-person opinion in order
to achieve consensus about an issue. In ergonomics, FGD has been used to develop
consensus on issues in the areas of product design [11, 12]. However, the Delphi
technique appears more suitable, particularly for a study with a panel of selected
subjects as the participants [13]. Also, the Delphi technique offers benefits such as
minimizing direct confrontation among subjects as well as a more controlled feedback
process during consensus development [10, 14].
This study was conducted to develop a comprehensive list of risk factors for LE-
WMSDs in the hip. The development applied a series of Delphi surveys which
involved subject-matter experts with varied backgrounds in the area of hip muscu-
loskeletal disorders. The goal was to develop a list to provide information on risk
factors, exposure dosage and degree of risk for risk factors for LE-WMSDs in the hip.
2 Methods
2.1 Delphi Survey
Survey Development. Two rounds of a Delphi survey were performed in this study.
The items evaluated in the first round of the Delphi survey were identified from the
The Development of a Comprehensive List of Risk Factors 371
results of literature searches on databases such as PubMed, Google Scholar, and Web
of Science. The literature searches utilized combinations of keywords, i.e., occupa-
tional, exposure, risk factors, hip, pain, musculoskeletal disorders, and osteoarthritis. In
determining the items that were included in the first round of the Delphi survey,
evidence assessment was performed by the first author (AA) using four criteria,
including quality of relevant studies concerning the risk factor, the quantity of relevant
studies, consistency of findings, and statistical associations [15–17]. Strength of evi-
dence was assessed as either strong, moderate, slight, insufficient, and evidence of no
effect, based on a set of criteria established a priori. Items with at least slight evidence
were included on the first round of the Delphi survey.
Survey Administration. During the survey, the subject-matter experts (SMEs) were
requested to rate the degree of risk for each risk factor item. Four levels (degrees) of
risk, including ‘not a risk a factor’ (none), slight, moderate, or strong were provided as
response choices. On the survey, if the SMEs felt that he/she was not knowledgeable
about a specific risk factor, he/she could choose the ‘don’t know’ response option.
A text box for adding comments was provided for each question. The SMEs were also
encouraged to describe additional risk factor items that were not listed in the survey
that they thought were risk factors for LE-WMSDs in the hip based on their knowledge
and experience. The sets of questions were administered using an online survey system
(Qualtrics, LLC, USA). The format for each risk factor question in the survey is
presented in Table 1.
Table 1. A typical question format for the Delphi survey

Please rate the strength of each specific occupational factor, as a risk factor for hip
musculoskeletal disorders
Risk factor item, dosage exposure (e.g. kneeling, 1 h/day ⎕ Not a risk factor
concentrated; stair climbing, 15 flights/day) ⎕ Slight risk factor
⎕ Moderate risk factor
⎕ Strong risk factor
⎕ Don’t know
Comments:
2.2 Participants
Sixteen potential candidate subject-matter experts (SMEs), each of whom had relevant
backgrounds in such areas as biomechanics, epidemiology, ergonomics, occupational
medicine, and/or physical therapy were invited to participate in the study. In identifying
potential candidates, a list of authors was developed from the literature review. The
research interests and publications of the potential candidates were explored using
public information that is available on the internet such as personal web page and
Google Scholar. The inclusion criteria for the study was that the participants self-
identified as having research interests in lower extremity musculoskeletal disorders in
the hip and they had published at least two peer-reviewed articles in this area.
2.3 Data Analysis

After all of the SMEs finished returning the first round of the Delphi survey, percentage
responses of the risk factor degrees for each item were calculated. Information of the
percentage responses and the number of SMEs who responded each item was
embedded in the set of questions for the second round of the Delphi survey.
3 Results
Survey Development. The literature searches and strength of evidence assessment

process that was used to compile the list of risk factors to be included in the Delphi
survey identified 15 risk factors for LE-WMSDs in the hip. The list included seven
occupational and nine worker-specific (personal) factors (Table 2). The occupational
risk factors included kneeling, manual material handling, sitting, stair climbing,
standing, and walking. Among the lower extremity postures and activities identified as
risk factors, the dosage of kneeling was the smallest, less than 1 h/day. Meanwhile,
standing was the lower extremity posture or activity that had the highest dosage, up to
4 h/day. Body mass index (BMI), gender, previous hip injury, and sports participation
were worker-specific factors that were classified as risk factors for LE-WMSDs in the
hip.
Survey Administration. Among the sixteen potential candidates of SMEs invited to
this study, five and four SMEs finished returning the first and the second round of the
Delphi survey, respectively. The SMEs self-reported that their backgrounds were
epidemiology, occupational medicine, physical therapy, and biomechanics. They
included clinicians and researchers working in the United Kingdom and the United
States.
The Delphi survey confirmed 18 risk factors for LE-WMSDs in the hip, which included
7 occupational risk factors and 11 worker-specific risk factors (Tables 3 and 4). The
Delphi survey yielded four additional risk factor items for LE-WMSDs in the hip,
beyond what had been identified through the literature review. These four items were
worker-specific risk factors, i.e., hip joint abnormality, inflammatory arthritis in the hip,
hip rotation imbalance, and sports participation involving cutting, pivoting, jumping,
lateral movement (Table 4). Furthermore, from the second round of the Delphi process,
the SMEs agreed that almost all risk factor items were less than or equal to moderate
degree risk factors. Although BMI greater than or equal to 30 kg/m2 was one risk factor
item that several SMEs agreed should be categorized as a strong risk factor. The degree
of risk, as indicated by the results of round 2 of the Delphi survey, suggested that
continuous exposures of the lower extremity postures and activities increased the
degree of risk. On average, continuous exposures tended to increase the degree of risk
for a risk factor item by one point.
Table 2. List of risk factors for LE-WMSDs in the hip as identified by literature searches
Items Type of risk Degree of References
factor evidence
Kneeling, 1 h/day Occupational Moderate [18, 19]
Lifting or carrying, 50 kg for >2 times/day Occupational Moderate [19]
Sitting, >2 h/day Occupational Moderate [18, 20–
22]
Stair climbing, 15 flights/day Occupational Moderate [18–21]
Standing, >4 h/day Occupational Moderate [23]
Walking, 2 h/day Occupational Moderate [19]
Whole body vibration, 2 h/day Occupational Moderate [22]
BMI, 25 to <30 kg/m2 (Overweight) Worker-specific Strong [3, 22, 24]
BMI, 30 kg/m (Obese)
2
Worker-specific Strong [3, 22, 24]
Gender, females Worker-specific Moderate [22]
Hip injury in the past Worker-specific Moderate [4]
Sports participation: running/jogging; 833+ Worker-specific Moderate [21]
hours/year*
Sports participation: swimming, at least Worker-specific Moderate [4]
weekly
Sports participation: track/field, 781+ hours, Worker-specific Moderate [21]
year*
Sports participation: tennis, at least weekly Worker-specific Moderate [4]
Sports participation: Walking, 3251+ Worker-specific Moderate [21]
hours/year*
*In making the exposure dosage more understandable to the Delphi survey participants, the
values of exposure dosage of those risk factors were converted to weekly exposure dosage
Table 3. Results of Delphi survey for the occupational risk factors for LE-WMSDs in the hip
Items Round 1 Round 2
n None Slight Moderate Strong n None Slight Moderate Strong
Kneeling 1 h/day 5 20% 80% 4 50% 50%
(continuous)
Kneeling 1 h/day 5 60% 20% 20% 4 100%
(spread out)
Sitting >2 h/day 5 20% 80% 4 25% 75%
(continuous)
Sitting >2 h/day 5 20% 80% 4 50% 50%
(spread out)
Stair climbing 15 5 20% 20% 60% 4 25% 25% 50%
flights/day
Standing > 4 h/day 5 20% 20% 20% 40% 4 25% 25% 50%
(continuous)
Standing >4 h/day 5 20% 60% 20% 4 50% 50%
(spread out)
(continued)
Lifting and 5 40% 40% 20% 4 75% 25%
carrying, 50 kg
for >2 times/day
Walking 2 h/day 5 20% 20% 40% 20% 4 25% 50% 25%
(continuous)
Walking 2 h/day 5 20% 40% 20% 20% 4 50% 50%
(spread out)
Whole body vibration 5 20% 20% 60% 4 25% 50% 25%
exposure for 2 h/day
(continuous)
Whole body vibration 5 20% 60% 20% 4 50% 50%
exposure; 2 h/day
(spread out)
Table 4. Results of Delphi survey for the worker-specific risk factors for LE-WMSDs in the hip
BMI, 25 to <30 kg/m2 5 40% 40% 20% 4 75% 25%
BMI, 30 kg/m2 5 20% 20% 60% 4 75% 25%
Gender, female 5 20% 20% 40% 20% 4 25% 75%
Hip injury in the past 4 75% 25% 4 100%
Sports participation: 5 40% 40% 20% 4 75% 25%
running/jogging, 2 h/week
Sports participation: 4 25% 50% 25% 4 25% 75%
track/field, 2 h/week
Sports participation: 5 60% 40% 4 75% 25%
walking, 4 h/week
Sports participation: weekly 5 60% 40% 4 100%
swimming
Sports participation: weekly 5 40% 40% 20% 1** 100%
tennis
Hip joint abnormality (e.g., 3 33% 67% 4 100%
acetabular dysplasia,
Perthes’, CDH, and cam
femur)*
Inflammatory arthritis in hip* 1 100% 3 100%
Hip rotation imbalance (e.g., 1 100% 3 33% 67%
limited internal rotation,
bilateral or unilateral)*
Sports participation 1 100% 2 50% 50%
involving cutting, pivoting,
jumping, lateral
movement; >50 h/year*
*Item added by an SME
**Due to an error during the survey administration, one worker-specific risk factor (sports participation:
weekly tennis) only got one SME’s response during the second round of the Delphi survey.
4 Discussion and Conclusions
In this study, a comprehensive list of risk factors for LE-WMSDs in the hip was
developed through two rounds of a Delphi survey. Eighteen items, including 7 occu-
pational and 11 worker-specific risk factors, were confirmed by SMEs to be risk factors
for LE-WMSDs in the hip, with the degree of risk ranging from slight to strong. For
items that included two different dosages, higher risk was associated with continuous
exposure when compared with risk level for exposures that were spread out in time.
The Delphi survey conducted in this study added four risk factor items that were
not identified in the literature searches. They include medical conditions such as hip
joint abnormality and sports participation involving cutting, pivoting, jumping, and
lateral movement. Therefore, this finding confirms that adding the knowledgeable
individual judgments through a Delphi survey offers a possibility to broaden the state
of knowledge [10, 25].
The results of the study confirmed five lower extremity postures and activities,
including kneeling, sitting, stair climbing, standing and walking with the exposure
duration at least 1 h/day as the occupational risk factors for LE-WMSDs in the
hip. Among them, kneeling was the postures that had the lowest dosage, less than
1 h/day. This dosage was small compared to other postures and activities such as
walking. The smaller dosage of kneeling might be associated with the higher range of
hip flexion. Walking is a lower extremity activity which required hip flexion ranged
from −50 to 380 [26]. Meanwhile, kneeling requires higher hip flexion up to 700 [27].
The findings suggest that continuous exposure to stressful lower extremity postures
or activities increases risk (in contrast to intermittent exposure). Work design impli-
cations of this finding: it is important for workers to have jobs that allow them some
variation in lower extremity postures and activities in order to minimize prolonged
postures and activities. Note that this does not mean introducing so much variation that
repetition rate elevates the risk (as in a task that would require repeated kneeling or
squatting). In addition to the beneficial health effects for the hip, postural variability
also provides workers with the possibility of having less discomfort and pain in other
parts of the body such as the upper and lower back [28, 29].
As indicated by the list of risk factors, 11 of the 18 items were worker-specific risk
factors for LE-WMSDs in the hip. Awareness of these risk factors in occupational
settings might provide a possibility for decreasing adverse health effects to workers’
hips. Recent trends in some countries of an increasing BMI of workers [30] suggest that
it may be beneficial for companies to consider a two-pronged approach, improvements
in work design and implementation of worker wellness interventions, to address both
major categories of risk factors for hip MSDs.
Further research can be conducted in operationalizing the list of risk factors, for
example into a checklist format. Presentation as a checklist might offer benefits to
occupational safety and health (OSH) practitioners who conduct ergonomics assess-
ments. Checklist formatted ergonomics assessment tools can make the assessment
process easier and more systematic [31]. Also, such tools can be used as a rapid
screening instrument which helps OSH practitioners in quickly quantifying risks
exposure of workers [32, 33].
In summary, this study presents a comprehensive list of risk factors for LE-
WMSDs in the hip through the two-rounds of a Delphi survey. The list provided
information about the items, dosage information, and extent of risk. Identified risk
factors included occupational and worker-specific risk factors. As indicated by the
results, this study shows a possibility of an application of the Delphi technique in
broadening the state of knowledge, particularly for an issue such as risk factors for LE-
WMSDs in the hip.
Acknowledgments. The authors would like to acknowledge the partial support of Lembaga
Pengelola Dana Pendidikan Republik Indonesia (Indonesia Endowment Fund for Education) in
the form of a travel grant, which enabled the author to attend this conference.
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Ergonomic Risk Assessment of Sea Fisherman
Part III: Manual Handling and Static Posture
Alessio Silvetti1(&), Elio Munafò2, Alberto Ranavolo1,

Antonella Tatarelli1, Lorenzo Fiori1, Sergio Iavicoli1,
Pasquale Di Palma3, and Francesco Draicchio1
1
DIMEILA-INAIL Research Area, Monte Porzio Catone, Rome, Italy
{al.silvetti,a.ranavolo,a.tatarelli,lo.fiori,
s.iavicoli,f.draicchio}@inail.it
2
ITAL-UIL, Via Po 162, 00198 Rome, Italy
elio.munafo@inail.it
3
SSC-INAIL, Rome, Italy
p.dipalma@inail.it
Abstract. According to ILO, WHO and EU data, the fishing sector is among
the most dangerous working sectors. Common standardized protocols for
biomechanical risk assessment can hardly be used due to peculiar characteristics
of high seas fisheries (exposure to extreme temperatures, boat instability, floor
slipperiness). Few studies, carried out in laboratory simulations, have already
highlighted the high biomechanical load risk to which workers are exposed. Aim
of the study is to analyze manual material handling task and awkward postures
adopted by workers during sorting and cleaning in real working conditions. The
last version of the 3DSSPP software was used. This software takes into account
the recent muscle fatigue limits suggested by the ACGIH.
During the sorting and cleaning tasks, the most relevant risk factor was trunk
flexion. Workers maintain static extreme trunk flexion for long times often
exceeding fatigue limits suggested by ACGIH. Also, for manual material han-
dling we found high level risk exceeding the limits suggested by literature for
shear and orthogonal forces acting at lumbosacral level and the fatigue limits
suggested by ACGIH. The most relevant risk factors for manual material han-
dling were trunk extreme postures and the handled weight.
Mutual support of the crew and the introduction of automated systems can
reduce biomechanical risk increasing rest times for physiological recovery.
Keywords: 3DSSPP localized fatigue Awkward postures

Orthogonal and shear forces
1 Introduction
According to estimates by the International Labour Organization (ILO) the World

Health Organization and the EU-OSHA, fishing is one of the most dangerous activities.
Bernardino Ramazzini (1633–1714) dedicated an entire chapter of his treatise, De
morbis artificum diatriba, to fishermen, stating: “how difficult this job is … how
difficult his life is … for fishermen the night is almost always busy and sleepless”.

https://doi.org/10.1007/978-3-030-20145-6_38
380 A. Silvetti et al.
Recently, in an EU report [1], it was confirmed that the fishing sector has the
highest accident rate of all other commercial sectors. Several studies in the literature
support the EU data [2–5]. These studies, mainly based on anamnestic surveys carried
out with questionnaires or on insurance databases, have highlighted that muscu-
loskeletal diseases are the most frequently found health problems in the fishing industry
followed by sharps injuries.
For these reasons, the European Parliament has asked for greater safety with par-
ticular regard to the aspects of prevention and training. Various international con-
ventions and recommendations, mainly by the ILO (ILO Convention no. 188/2007),
have been developed to regulate the sector.
In Italy, the Legislative Decree 81/08 has not yet been extended to maritime
workers. Currently, for the Italian sea fishing sector, Legislative Decree 271/99 is still
in force, focusing on working hours and work organization on ships. It examines the
various figures involved in the protection of safety and health on fishing vessels
(shipowner, captain, sailor) and focuses on their specific training. These existing reg-
ulations, not requiring the risks assessment and the health surveillance does not ensure
proper and concrete prevention and protection from occupational risks exposure.
The risk of biomechanical overload, among the other risks, is the most difficult to
assess because, in this peculiar context, the standardized protocols are difficult to use
for the specific characteristics of fishing on the high seas (exposure to extreme tem-
peratures, instability of the boat, slipperiness of the floor).
The few researches carried out in laboratory simulations have already highlighted
the high risk of biomechanical overload to which workers are exposed [6–8].
Previous field studies carried out by the authors [9, 10] confirmed the high
biomechanical load to which workers are exposed.
Aim of the work is to analyse the task of unloading the boxes from the boat to the
pallet, the handling of the boxes in the cold room and the awkward postures adopted by
workers during the sorting and cleaning of the catch that differed substantially from that
investigated in the two previous works [9, 10] for both the used equipment and the
work pace.
During the three days spent on board, video recordings of work activities were made.
The most representative Figures of the activities were then sampled from the videos.
The sampled Figures were analysed with the most recent version (7.0.4) of the 3DSSPP
software of the University of Michigan [11]. In addition to the biomechanical
parameters provided by older versions (Strenght Percent Capable, Orthogonal and
Shear Forces at L4/L5 and L5/S1 lumbar level), the updated one includes the per-
centage of Maximum Voluntary Contraction (MVC) and the localized fatigue analysis
for all body regions. This analysis is based on the ACGIH TLV guidelines [12] for
localized fatigue of the upper extremity. The ACGIH sets 50% of the time to
exhaustion curves from Frey-Law and Avin paper for the exertion duration limits [13].
The guidelines specify a maximum duty cycle time in percent for the exertion as
well as the maximum static duration of the exertion. The maximum duty cycle and
Ergonomic Risk Assessment of Sea Fisherman Part III 381
static duration depend upon the percent of strength of the effort (100 * effort/maximum
strength). The strength can be the 50th percentile strength (average strength of popu-
lation), 25th percentile strength (somewhat weak population), or 5th percentile strength
(weak population). The results of this paper refer to the 50th percentile strength average
strength of population.
With regard orthogonal and shear forces, the action limit (AL) proposed by NIOSH
(3400 N) [14] and by Gallagher (700 N) [15] were considered.
3 Results
3.1 Strenght Percent Capable (SPC)

Percentage of Maximum Voluntary Contraction (%MVC)
3.1.1 Task of Sorting

Figure 1 shows one of the four reconstructions of the task of sorting made by the
3DSSPP software. Table 1 summarizes, for each body region, the lowest SPC and
highest %MVC results of the four reconstructions.
The most significant SPC data relates to the hip; in the four frames examined, in
fact, the lowest SPC values are all in this body region and are between 77% and 91%.
As far as the percentage MVC values, those on the sagittal plane are to be noted:
trunk flexion (between 49% and 54% of MVC), hip flexion (between 40% and 55% of
MVC), knee flexion (between 31% and 71% of MVC) and ankle flexion (between 30%
and 46% of MVC). One of the frames also showed a significant value for trunk rotation
(40% MVC).
Fig. 1. The figure shows one of the four reconstructions made with the 3DSSPP software of the
sorting task.
Table 1. The table summarizes, for the sorting task, the most relevant SPC and %MVC results
for each of the four frames examined. The %MVC data are referred to the side of the body
segment, right (R) or left (L).
Frame SPC %MVC
Sorting 1 Hip: 91% Trunk flexion: 49%
Hip flexion: 44%L; 47%R
Knee flexion: 34%L; 36%R
Ankle flexion: 44%L; 46%R
Trunk rotation: 40%
Hip flexion: 71%R
Ankle flexion: 30%R
3.1.2 Task of Cleaning

Figure 2 shows the reconstruction made by 3DSSPP of the task of cleaning fish.
Table 2 summarizes, for each body district, the most relevant SPC and %MVC results
of the reconstruction. The most noteworthy SPC result is that of hips with 92%. As
regards the percentage of MVC, the sagittal plane values of the trunk (46% MVC), of
the hips (42% MVC left and 43% MVC right) and the knees (44% MVC on both sides)
are particularly relevant.
Fig. 2. The figure shows the reconstructions made with the 3DSSPP software of the cleaning
task
Table 2. The table summarizes, for the task of cleaning, the most relevant results of SPC and %
MVC for the frame examined. The %MVC data are referred to the side of the body segment,
right (R) or left (L).
Frame SPC %MVC
Cleaning 1 Hip: 92% Trunk flexion: 46%
3.1.3 Task of Handling in the Cold Store

Figure 3 shows one of the five reconstructions of the task of lifting the boxes of fish in
the on-board cold store made using the 3DSSPP software. Table 3 summarizes, for
each body district, the most relevant results of SPC and %MVC of the five
reconstructions.
The body regions with particularly low SPC values were: the trunk (between 79%
and 88%), the hip (between 65% and 83%), the knee (between 77% and 85%) and the
ankle (between 78% and 85%).
The highest values of %MVC are all those on the sagittal plane of the worker.
Trunk flexion has %MVC values of between 63% and 74%, hip flexion has %MVC
values of between 44% and 54% for the left side and between 53% and 84% for the
right side, knee flexion has %MVC values of between 48% and 73% for the left side
and between 45% and 78% for the right-hand side, ankle flexion has %MVC values of
between 52% and 70% for the left side and between 43% and 74% for the right-hand
side. Finally, one of the frames (coldstore 2), shows a relevant value for ulnar deviation
of the right wrist (41% of the MVC).
Fig. 3. The figure shows one of the reconstructions made with the 3DSSPP software of the
handling in the cold store.
Table 3. The table summarizes, for the cold store handling task, the most relevant results of
SPC and %MVC for each of the five frames examined. The %MVC data are referred to the side
of the body segment, right (R) or left (L).
Frame SPC %MVC
Coldstore 1 Trunk: 87% Trunk flexion: 64%
Hip: 83% Hip flexion: 50%L; 53%R
Knee: 83% Knee flexion: 72%L; 45%R
Coldstore 2 Trunk: 85% Wrist ulnar deviation: 41%R
Hip: 65% Trunk flexion: 68%
Hip flexion: 84%R
Knee flexion: 51%R
Ankle flexion: 44%R
Coldstore 3 Trunk: 79% Trunk flexion: 74%
Hip: 74% Hip flexion: 54%L; 74%R
Coldstore 4 Ankle: 85% Trunk flexion: 64%
Trunk: 88% Hip flexion: 45%L; 63%R
Hip: 82% Knee flexion: 65%L; 70%R
Knee: 85% Ankle flexion: 64%L; 66%R
Coldstore 5 Ankle: 78% Trunk flexion: 63%
Trunk: 88% Hip flexion: 44%L; 66%R
Hip: 80% Knee flexion: 73%L; 78%R
Knee: 77% Ankle flexion: 70%L; 74%R
3.1.4 Task of Unloading on the Dock

Figure 4 shows one of the twelve reconstructions made by the 3DSSPP software of the
task of unloading the fish boxes from the boat to the dock. Table 4 summarizes, for
each body region, the most relevant SPC and %MVC results of the twelve recon-
structions. In the first ten reconstructions the worker performs the handling alone. In the
last two he is helped by another member of the crew.
As regards SPC, the first ten Figures showed values ranging between 51% and 82%
at ankle level, between 52% and 92% at trunk level, between 51% and 88% at hip level,
between 58% and 90% at knee level, between 57% and 59% at wrist level and between
60% and 74% at shoulder level. For the last two Figures all the values were well above
90% for all body regions.
The %MVC obtained are particularly high, not only on the sagittal plane, as the
other tasks, but also on the other two planes. In the Figures in which the worker
performed the handling alone (from Unloading 1 to Unloading 10) the values of trunk
bending range from 56% to 88%. The values are slightly lower when the handling
activity is carried out with another worker (50% and 54% in Unloading 11 and 12). In
this task, the analysis showed relevant values of %MVC for torsion (between 50% and
99%) and the lateral bending of the trunk (between 37% and 46%). The lateral tilt is
slightly lower (32% of MVC) in the two Figures in which the operators cooperated.
Another body region in which the %MVC values are particularly high is the shoulder.
In fact, for shoulder abduction, the %MVC values obtained range from 47% to 94% for
the left shoulder and from 38% to 63% for the right shoulder.
Fig. 4. The figure shows one of the reconstructions made with the 3DSSPP software of the task
of unloading the fish boxes onto the dock.
Table 4. The table summarizes, for the task of unloading the boxes on the dock, the most
relevant results of SPC and %MVC for each of the twelve frames examined. The %MVC data are
referred to the side of the body segment, right (R) or left (L).
Frame SPC %MVC
Unloading 1 Ankle: 51% Wrist ulnar deviation: 44%L; 38%R
Trunk: 80% Elbow flexion: 33%L; 32%R
Hip: 88% Shoulder abdadduction: 47%L; 49%R
Knee: 89% Trunk rotation: 61%
Trunk flexion: 73%
Knee flexion: 64%R
Trunk rotation: 83%
Trunk flexion: 63%
Hip flexion: 71%R
Knee flexion: 62%R
Ankle flexion: 81%R
(continued)
Frame SPC %MVC
Trunk rotation: 50%
Trunk flexion: 70%
Trunk bending: 37%
Hip flexion: 88%L
Knee flexion: 68%L
Ankle flexion: 93%L
Unloading 4 Trunk: 65% Wrist ulnar deviation: 54%L; 46%R
Hip: 69% Elbow flexion: 30%L
Shoulder abdadduction: 47%L; 43%R
Trunk rotation: 77%
Trunk flexion: 88%
Hip flexion: 80%L
Ankle flexion: 36%L
Unloading 5 Ankle: 61% Trunk rotation: 63%
Trunk: 92% Trunk flexion: 56%
Hip: 82% Hip flexion: 64%L
Knee: 73% Knee flexion: 82%L
Ankle flexion: 91%L
Unloading 6 Ankle: 79% Wrist ulnar deviation: 70%L
Trunk: 84% Wrist flexextension: 37%L
Hip: 51% Wrist rotation: 31%L
Shoulder abdadduction: 56%L
Shoulder rotation: 43%L
Trunk rotation: 64%
Trunk flexion: 69%
Hip flexion: 99%L
Knee flexion: 58%L
Ankle flexion: 73%L
Unloading 7 Wrist: 59% Wrist ulnar deviation: 93%L; 56%R
Shoulder: 74% Elbow flexion: 51%L; 34%R
Ankle: 61% Shoulder abdadduction: 85%L
Trunk: 69% Shoulder rotation: 51%L
Knee: 58% Hip flexion: 54%L; 91%R
Unloading 8 Wrist: 57% Wrist ulnar deviation: 94%L; 79%R
Shoulder: 60% Wrist flexextension: 40%R
Trunk: 52% Wrist rotation: 64%L
Hip: 73% Elbow flexion: 47%L; 46%R
Knee: 90% Shoulder abdadduction: 94%L; 38%R
Shoulder rotation: 62%L; 70%R
(continued)
Frame SPC %MVC
Trunk rotation: 99%
Trunk flexion: 82%
Trunk bending: 46%
Hip flexion: 76%L
Knee flexion: 55%L
Ankle flexion: 39%L
Knee: 85% Trunk flexion: 78%
Knee: 81% Trunk flexion: 87%
Unloading 11 Shoulder: 94% Wrist ulnar deviation: 48%L; 43%R
Ankle: 92% Shoulder abdadduction: 58%L; 62%R
Trunk: 93% Shoulder rotation: 53%R
Trunk bending: 37%
Hip flexion: 44%L
Knee flexion: 56%L
Ankle flexion: 54%L
Unloading 12 Shoulder: 93% Wrist ulnar deviation: 48%L; 43%R
Ankle: 84% Shoulder abdadduction: 59%L; 63%R
Trunk: 94% Shoulder rotation: 41%R
Trunk bending: 41%
Knee flexion: 40%L
Ankle flexion: 67%L
3.2 Orthogonal Forces (OrtF) – Shear Forces (ShF)

3.2.1 Task of Sorting
Table 5 summarizes, for each of the four analyzed frames of the sorting task, the
orthogonal force and shear force values obtained at the level of the lumbosacral joints
L4/L5 and L5/S1. In three of the four frames analyzed, the values obtained are below
the threshold value proposed by NIOSH for both the L4/L5 and L5/S1 joints. The
orthogonal force exceeded NIOSH AL only in one frame in which the worker’s trunk
had a slight torsion together with a flexion of more than 90°. The shear force values are
slightly lower the threshold from Gallagher. Specifically, they are between 222 N and
481 N at L4/L5 level and between 467 N and 486 N at L5/S1 level.
Table 5. The table summarizes, for the sorting task, results obtained by OrtF and ShF at L4/L5
and L5/S1 level for the four frames analyzed.
Frame L4/L5 OrtF L4/L5 ShF L5/S1 OrtF L5/S1 ShF
Sorting 1 2782 N 480 N 3070 N 486 N
Sorting 2 3785 N 222 N 3438 N 467 N
Sorting 3 2881 N 481 N 3209 N 486 N
Sorting 4 2880 N 476 N 3204 N 486 N
3.2.2 Task of Cleaning

Table 6 summarizes, for the frame analysed for the task of cleaning, the orthogonal
force and shear force values obtained at the level of the lumbosacral joints L4/L5 and
L5/S1. In the frame examined, the values were below the thresholds for all four
parameters.
Table 6. The table summarizes, for the cleaning task, the results obtained from OrtF and ShF at
L4/L5 level and L5/S1 for the analysed frame.
Cleaning1 2369 N 432 N 2652 N 440 N
3.2.3 Task of Handling in the Cold Store

Table 7 summarizes, for each of the five analyzed frames of handling in the cold room,
the obtained values of orthogonal and shear forces at the lumbosacral joints L4/L5 and
L5/S1.
The shear force values obtained are between 426 N and 584 N at L4/L5 level and
between 484 N and 586 N at L5/S1 level. Although high, these values are below the
700 N threshold proposed in the literature by Gallagher.
More relevant are the results related to orthogonal forces. The forces at L5/S1 level
are all above the NIOSH AL, between 3646 N and 4390 N. At L4/L5 level, the forces
exceed the threshold in two frames, while in the remaining three frames, the values
recorded are just below (around 3300 N).
Table 7. The table summarizes the results obtained by OrtF and ShF at L4/L5 and L5/S1 level
for the five frames analysed for the cold room handling task.
coldstore1 3305 N 584 N 3706 N 586 N
coldstore2 3544 N 426 N 3799 N 484 N
coldstore3 4060 N 490 N 4390 N 506 N
coldstore4 3308 N 509 N 3646 N 529 N
coldstore5 3321 N 522 N 3679 N 542 N
3.2.4 Task of Unloading on the Dock

Table 8 summarizes, for each of the twelve frames analysed for the task of unloading
boxes from the boat to the dock, values obtained of orthogonal and shear forces at
L4/L5 and L5/S1 lumbo-sacral joints level.
The shear forces are all below the threshold suggested by Gallagher. The values
obtained are between 343 N and 559 N for the L5/S1 joint and between 47 N and
559 N for the L4/L5 joint.
The orthogonal forces at L4/L5 level exceeded the threshold of 3400 N in eight of
the twelve frames examined. In one of the frames, a peak value of 5012 N was
recorded. At L5/S1 level, the values obtained exceed the NIOSH AL in four of the
twelve frames. In three of these four frames the values exceed 4000 N.
Table 8. The table summarizes the results obtained by OrtF and ShF at L4/L5 and L5/S1 level
for the twelve frames analysed for the unloading on the dock task.
Unloading 1 4154 N 244 N 3524 N 404 N
Unloading 2 3038 N 320 N 2317 N 368 N
Unloading 3 3799 N 333 N 3109 N 383 N
Unloading 4 3542 N 184 N 3005 N 391 N
Unloading 5 2899 N 47 N 2511 N 400 N
Unloading 6 3949 N 101 N 3336 N 498 N
Unloading7 4189 N 559 N 4542 N 559 N
Unloading 8 5012 N 385 N 2990 N 441 N
Unloading 9 3719 N 461 N 4003 N 460 N
Unloading 10 4463 N 415 N 4745 N 443 N
Unloading 11 2439 N 201 N 1747 N 349 N
Unloading 12 2626 N 195 N 1228 N 343 N
Fig. 5. The figure shows an example of an automation system for sorting and washing the catch.
4 Conclusion
In the three days spent on board in the north Adriatic Sea, several tasks were observed
that are worthy of attention from the point of view of the risk of biomechanical
overload. The assessment only considered tasks that were performed continuously as
part of the working cycle. As regards the Duty Cycle (%DC) percentages, it was not
possible to obtain values from the analysis because the durations of the cycles were
extremely variable; nevertheless, preliminary analysis showed very low %DC values.
Other tasks worthy of attention, such as repairing nets and repairing hooks of rapids,
were not assessed because of their occasionality.
In this our second experience, similarly to the previous study [9, 10], we observed
different techniques adopted by the workers to reduce the load, such as mutual help in
the cleaning task or the use of a bar to slide the boxes of fish instead transporting it.
As far as sorting and cleaning activities are concerned, the most relevant risk factor
found was trunk flexion, which reached, and sometimes exceeded, 90°. The workers
took this posture in static conditions for prolonged periods of time of around fifteen
minutes.
The orthogonal forces at the level of the lumbo-sacral joints L4/L5 and L5/S1,
although very high (usually beyond 400 N), never exceeded the threshold of 700 N. It
is important to underline, however, that the 700 N threshold refers to workers not
suffering of musculoskeletal disorders, often found in the crew.
The orthogonal forces in this case were again usually below the threshold of
3400 N; this threshold was exceeded only in one case (Sorting 2) in which the trunk of
the worker was flexed and rotated. It should be noted that these values were reached
using exclusively the posture assumed by the workers, given that, in cleaning and
sorting tasks no loads were handled.
In order to reduce the risk of sorting and cleaning activities, it would be advisable to
equip vessels with automated systems (Fig. 5) in which the catch, once unloaded onto
the stern, can be transported on a conveyor belt to an automatic washing area and then
onto a table. Here, the workers can sort the catch without adopting awkward postures
for prolonged times and protected from adverse weather conditions.
Manual material handling activities, both in the cold room and on the dock, showed
very high percentage values of MVC at trunk level. Differently from the sorting and
cleaning, these values were achieved by considering the weight of the handled load,
ranging from 5 to 10 kg, as well as the adopted posture. The shear force values for
manual material handling activities, although high, were always slightly below the
threshold of 700 N.
As for the orthogonal forces the values were almost always above the threshold of
3400 N proposed by NIOSH with peaks exceeding 4000 N (Coldstore 3 and
Unloading 1, 7, 8 and 10). For the reduction of the risk, in the tasks of handling, it can
be noticed that mutual help between crew members (Unloading 11 and 12) can help to
reduce the values of the investigated parameters.
As in our two previous works [9, 10] this new experience, involving a different
method of fishing, revealed a high risk of biomechanical overload in workers. Our
study identified various postures and activities that, although displaying a high
biomechanical load, cannot be evaluated using the standardized protocols. It was also
noted that, similarly to our previous experience, workers have made spontaneous
efforts, as far as possible, to adopt improvements to reduce the risk of biomechanical
overload.
It is also desirable that vessels of new generations have automated onboard sys-
tems, such as that showed in Fig. 5, for the purpose of reducing risk. As far as vessels
currently in use are concerned, it is desirable that these vessels adopt automation
solutions even by means of public economic support for the improvement of working
conditions.
Acknowledgement. This paper has been funded by UILA Pesca.
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Psychosocial Risk Management
and Psychological Attachment: Mediating Role
of Job Satisfaction
Michael Akomeah Ofori Ntow(&), Evans Sokro,

Ophelia Dogbe-Zungbey, and Noble Osei Bonsu
Department of Human Resource Management, Central Business School,

Central University, P.O. Box 2305, Tema, Ghana
ntow.michael@gmail.com,
{esokro,odzungbey,nosei.bonsu}@central.edu.gh
Abstract. Interestingly, awareness and action in developing countries about

psychosocial risks is far off the successes experience in developed economies.
Psychosocial risk places huge cost on organisations as workers are faced with
strain and job-related diseases which affect overall output of organisations. Also,
few studies on psychosocial risk seems to focus more on heavy industries rather
than the service sector where psychosocial risk factors can be identified and
stress is overlooked or misinterpreted. The aim of this study is to examine the
mediation role of job satisfaction on the relationship between psychosocial risk
management and psychological attachment.
A cross-sectional survey was designed to collect quantitative data from
respondents within the Ghanaian Banking sector. The study adopted a multi
stage sampling technique to select 220 employees for the survey. First,
researchers used hierarchical correlation coefficient to test hypotheses and SPSS
Process to test for mediation. The findings revealed that there is a significant
relationship between the predictor which is psychosocial risk management and
psychological attachment which is the outcome(r = 0.209, p < 0.01) with job
satisfaction as a partial mediator between the relationship (z = 2.3003,
p = 0.0214), after a sobel test was conducted. An indication that job satisfaction
is critical in explaining the relationship between psychosocial risk management
and psychological attachment.
Keywords: Psychosocial risk management Job satisfaction

Psychological attachment Banks
1 Introduction
The health of every employee is critical to the effective use of their abilities and skills.
Individuals use both physical and mental efforts to accomplish a task hence, whatever
affects the mental or physical health tends to hinder task accomplishment. Work, since
time immemorial has been known to be an important part of human life. Most
employees spend at least 40 h per week at work contributing towards the successful
achievement of organizational goals. In a wider sociological context, working life is

https://doi.org/10.1007/978-3-030-20145-6_39
394 M. A. O. Ntow et al.
affected by the general acceleration of pace of life, contribution to work intensification,

constant time pressure, multi-tasking and the need to learn new things just to maintain
the status quo [1]. Psychosocial risks are the organizational stressors as well as indi-
cators of poor physical and mental health among workers from many occupations [2].
Factors that are associated with psychosocial risk include; excessive workload and
work pace, job uncertainty, inflexible work schedules, irregular, unpredictable or
unsocial work hours, poor interpersonal relationship, lack of participation, lack of role
clarity, poor communication, poor career development and conflicting demands of
work and home. As reported by [3], about 35–50% of workers report of hazardous
physical, chemical or overload of unreasonably heavy physical work or ergonomic
factors that may be hazardous to employees health and wellbeing; an equal number of
working people report psychological overload at work resulting in stress and injuries. It
is important to state that apart from health outcomes associated with psychosocial risk
factors, performance-related outcomes such as turnover intent, absenteeism and job
satisfaction could be linked to these factors [4–6].
Recent studies indicate that contemporary and emerging psychosocial risks are
changing and go beyond the traditional workplace-centered approach. These among
other factors have been proved to have a major effect on most individual’s and orga-
nization’s productivity. Exposure to psychosocial risks can lead to stress resulting in
poor performance and, when prolonged, serious health problems [7]. There is a bur-
geoning evidence suggesting that work-related health complaints and exposure to
psychosocial hazards are positively associated [8]. Overall, the concept of risk, partic-
ularly in the area occupational health and safety, is often narrowly reduced to negative
impacts, seemingly neglecting associated opportunities [9]. Existing literature indicates
that managing psychosocial risks can help alleviate absenteeism, turnover, and job
dissatisfaction. Similarly it can also lead to positive results, such as improved levels of
health, innovation, motivation, commitment, productivity, and quality of work [10] and
perhaps enhance psychological attachment to the organization. Attachment refers to a
deep and enduring emotional bond that connects one person to another across time and
space [11, 12]. [13] identified four basic characteristics that may be evident in person-
organization relationships. These attributes include a safe heaven, a secure base,
proximity, maintenance and separation distress. Attachment can also be perceived as a
behavioral system where a feeling of security and actual condition of safety are sig-
nificantly associated. The fundamental goal of the system is to regulate behaviours
designed to maintain proximity to and contact with those that are regarded as attachment
figures [14]. Bretherton suggests further that attachment behaviours tend to be notice-
able when the attached person is frightened, fatigued, or sick and is assuaged when the
attached figure provides comfort, protection and assistance. As a result, employees may
become attached to the organization when they perceive safe work environment.
The job demand-control social support and the effort-reward imbalance models
remain the most widely used in occupational health research to explore issues relating
to employee psychological well-being. This study employs the job demand-control
model to investigate the relationships among the study variables. The model suggests
that stress and strain could result from the interaction of job demand and job control
such that workload, work space and conflicting demands constitute specific risk factors
associated with job demand dimensions [15, 16]. Consequently, mental strain and job
dissatisfaction are a combination of high job demand with low job control.
Psychosocial Risk Management and Psychological Attachment 395
In examining the effect of psychosocial risk on individuals at the workplace, [15]

posit that there is a relationship between cardiovascular diseases and psychosocial work
environment. The researchers further argued that psychosocial risk factors like lack of
autonomy, lack of role clarity, work overloads, conflicting demands and pressure to
produce affects the physical and psychological wellbeing of individuals. Also [17] posit
that a major contributing factor of work-related injuries and several disabilities at the
workplace is psychosocial risk factors. As indicated, psychosocial risk affect the psy-
chological makeup of employees who individually or collectively work to contribute to
organisational goals. [18] also found that psychosocial risk affects both the psycho-
logical and physical wellbeing of individuals and thus affect certain employee deci-
sions. More stunning to this research, previous research on psychosocial risk are mostly
found in developed economies with little attention paid to the developing economies.
Contextually, both developed and developing economies have different cultures,
conditions regulating employment, work settings and different management style. As
postulated by [19], the psychosocial risk assessment framework (PRIMA-EF) exam-
ined work arrangement and setting using the European context. It sought to explain
how the European work setting and context pose as psychosocial risk to employees in
organisations. Although these studies are widely acknowledged, there is still a gap on
how psychosocial risk affect employees’ behaviour outcomes. In particular, behaviour
outcomes in today’s banking sector deserve special attention as a result of the presence
of psychosocial risk factors. Both [20, 21] indicated that a common behaviour outcome
in the Ghanaian banking sector is turnover, and this has serious negative implication on
banks and the sector as a whole.
Specifically, in Ghana, work-related stress is usually associated with work that needs
much vigorous effort to accomplish. It is undoubtedly obvious that the current business
environment has become more competitive as a result of government decision to
restructure the financial sector and to introduce more reforms in the Ghanaian banking
sector. Thus, employers and workers have become sensitive in responding to this change
to avoid the situation where banks are consolidated or closed down. It could also result
in lose of clients and capital investments, layoffs and high operational costs. The level of
stress on employees in the banking sector to deliver superior performance is increasing.
The present condition requires employees to work for long hours, ensure that books are
properly balanced daily as well as work against tight deadlines. They also have to
contend with the issue of poor sitting posture, lack of job autonomy and perceived lack
of management support which may account for increased psychosocial risk in the
banking sector. According to [22], industries especially those in developing countries
suffer enormous economic and personnel costs as a result of injuries and diseases.
Most researchers tend to focus on issues relating to risk factors on sectors with
more physical effort such as the mining and construction. Nonetheless, not much
attention has been paid to the service sector where a lot of psychosocial risk factors can
be identified and where stress is overlooked or misinterpreted. The rise of these
administrative jobs presents the question as to whether these psychosocial risk factors
exist and how they are being monitored or solved. Also, in order for organizations to
increase employee positive attitudes like citizenship behaviour, task performance and
commitment management is expected to pay attention to how work is perceived by
employees. A lot of empirical research on psychosocial risk and its management have
been analyzed against various variables. For example, recent scholarly works including
[23–25] report that job satisfaction is achieved when management is able to minimize
the effect of psychosocial risk. Further, organizational-based self-esteem buffers the
effects of demanding working conditions such as role ambiguity on individuals’
physical strain and job dissatisfaction. An interesting study by [26] suggests that
increased emotional demand, lack of job control, lack of role clarity and unfavorable
psychosocial environment will decrease commitment and increase turnover intention
permanently. However, little empirical evidence exists regarding the relationship
between psychosocial risks management and psychological attachment with job sat-
isfaction as a mediator. The current study argues that job satisfaction will effectively
mediate the relationship between psychosocial risk management and psychological
attachment. The study proposes that:
H1: Psychosocial risk management positively relates to psychological attachment.
H2: Psychosocial risk management positively relates to job satisfaction.
H3: Job satisfaction significantly mediates the relationship between psychosocial
risk management and psychological attachment.
2 Methodology
For the purpose of this study, the researchers adopted a cross-sectional, descriptive, and
correlational survey design in examining the mediating role of job satisfaction in the
relationship between psychosocial risk management and psychological attachment.
Population for this study comprises of twenty-three (23) banks listed in the Ghana Club
100 Companies. Convenient sampling technique was used to select these banks based
on the willingness of organisations to participate in the study as well as proximity.
Secondly, almost all these banks have their headquarters in Accra and considered as
center of all banking operations. Purposive sampling technique was then used to
sample two hundred and twenty respondents. Scales for the measurement of study
variables were adopted from previous studies and piloted to suite the environment,
culture and context. In other to adhere to international standards and ethics in research,
organisations and participants were served with consent letters and briefed on the
nature of the study. Anonymity was assured and respondents of the study voluntarily
participated in the study without coercion.
This research implements a number of statistical techniques and procedures that
help to analyze research hypotheses. These techniques include reliability and validity
test, frequency analysis, independent sample t-test, descriptive statistics, correlation
matrix and multiple regressions. All statistical procedures were estimated using Sta-
tistical Package for Social Sciences (SPSS). Researchers also employed the use of
Process for SPSS 2.16.3 by Andrew Hayes for analysis of the mediation relationship.
Psychosocial Risk Management Scale
The study adopted long version of Copenhagen Psychosocial Questionnaire (COP-
SOQ, 2004–2005) from [27]. This 22-item scale was self-designed and scored on a
Likert scale with a range of 1–5, where 1 = Strongly Disagree, 2 = Disagree, 3 = Not
sure, 4 = Agree, 5 = Strongly Agree. The instrument was piloted to determine its
reliability and validity of the scale. The scale is made up of five facets namely; Pro-
duction and task, Work organization and job content, Interpersonal relationship and
leadership, Work individual interface and health as well as Wellbeing.
Psychological Attachment
The researcher used the [28] psychological attachment scale which is a 12-item scale.
This scale was self-designed and scored on a Likert scale with a range of 1–5, where
1 = Strongly Disagree, 2 = Disagree, 3 = Not sure, 4 = Agree, 5 = Strongly Agree. The
scale is made up two facets namely Identification and Internalization and Compliance.
Job Satisfaction
The researcher used the [29] job satisfaction scale. This scale was self-designed and
scored on a Likert scale where 1 = Strongly Disagree, 2 = Disagree, 3 = Not sure,
4 = Agree, 5 = Strongly Agree. This scale is a 10-item scale.
3 Correlation Analysis
Correlation Analyses – Pearson’s Correlation Coefficient, “r” was adopted for the
correlation analysis. It produces results ranging from −1 to +1. Values 0.1 < |r| < 0.3
indicate small or weak association between the explanatory variable and the dependent
variable, values 0.3 < |r| < 0.5 indicate medium or moderate association, values 0.5 <
|r| < 1 indicate large or strong association (Table 1 and Fig. 1).
Table 1. Test for reliability, validity and collinearity

Variable Cronbach alpha Collinearity
statistics
Tolerance VIF
Psychosocial risk management 0.814 0.973 1.028
Job satisfaction 0.784 0.973 1.028
Psychological attachment 0.791 1.00 1.00
job_sati ε1 .28
3.3
.42
.19
3.4
psychoso .16 psycholo ε2 .21
.2 1.4
Fig. 1. Authors conceptual framework
Table 2. Correlation coefficient analysis among study variables

Variable Mean SD 1 2 3
1. Psychosocial risk management 3.4192 0.4492 1
2. Job satisfaction 3.9855 0.5398 0.164 1
3. Psychological attachment 3.5862 0.52551 .209** .456** 1
*. Correlation is significant at the 0.05 level (2-tailed)
**. Correlation is significant at the 0.01 level (2-tailed)
Table 3. Process results for direct and mediation analysis among psychosocial risk management, job satisfaction and psychological attachment
398
Model 1. Outcome variable: Job Satisfaction

Summary: R R-sq MSE F df1 df2 p
.1640 .0269 .2807 6.0247 1.0000 218.0000 .0149
Variables ß se t p LLCI ULCI
Constant 3.2538 .2935 11.0856 .0000 2.6753 3.8323

Psychosocial Risk Management .1672 .0791 2.1135 .0000 .2530 .3923
M. A. O. Ntow et al.
Model 2. Outcome variable: Psychological Attachment

.2088 .0436 .2632 9.9359 1.0000 218.0000 .0018
Constant 2.7665 .2650 10.4399 .0000 2.2443 3.2888
Model 3. Outcome variable: Psychological Attachment

.4741 .2247 .2144 31.4527 2.0000 217.0000 .0000

Constant 1.3603 .3101 4.3862 .0000 .7491 1.9716
Job Satisfaction .4215 .0592 7.1207 .0000 .3048 .5381
Normal Theory Test of indirect effect (Sobel Test): Effect se z p

.0821 .0357 2.3003 .0214
Conditional indirect effects of X on Y: Effect BootSE BootLLCI BootULCI

PRM -> JS -> PA .0821 .0371 .0041 .1574
.1568 .0702 .0079 .3003
.0708 .0327 .0027 .1316
Note: N = 220. p is significant at .05; ß denotes beta coefficient, LLCI, lover limit confidence interval, ULCI, upper limit confidence interval, PA, Psychological Attachment, JS,
Job Satisfaction, PRM, Psychosocial Risk Management
4 Discussion
Hypothesis 1 predicted a positive relationship between psychosocial risk management

and psychological attachment. In examining the predictability of the dependent variable
by the independent variable, hierarchical regression was conducted. After controlling
for age, gender and marital Status, result of the regression is revealed that psychosocial
risk management is a significant predictor of psychological attachment [b = 0.209,
r = .208, p < 0.02] as in Tables 2 and 3. Hypothesis 2 also found that psychosocial risk
management is positively related to job satisfaction. The hierarchical regressed con-
firmed that psychosocial risk management is a statistically significant in predicting job
satisfaction [b = 0.164, r = .164, p < 0.01]
The relationship between psychosocial risk management and psychological
attachment was mediated by job satisfaction. According to [30], a variable functions as
a mediator when it meets the following conditions; (a) variations in level of the
independent variable significantly account for variations in the presumed mediator
(path a), (b) variations in the mediator significantly account for variations in the
dependent variable (path b), and (c) when paths a and b are controlled, a previously
significant relationship between the independent and the dependent. In model 1 the
regression coefficient between psychosocial risk management and job satisfaction was
statistically significant at 0.0149.
For the purpose of this study, mediation test was conducted to evaluate the strength
of the mediator (Job Satisfaction). In model 1, the regression of psychosocial risk
management on psychological attachment without the mediator, was significant
b = 0.2422, t = 3.1521, p = <.0018. In model 2, the regression on psychosocial risk
management and job satisfaction, which is the mediator showed that psychosocial risk
management is significant b = 0.1948, t = 2.4545, p = <.0149. In model 3, the
mediation process showed that controlling for the mediator (job satisfaction), psy-
chosocial risk management which was the predictor’s score was not statistically sig-
nificant in predicting psychosocial attachment (b = 0.1601, t = 2.278, p = 0.237). As
shown in Table 2 an introduction of the mediator in the model increased and changed
an already significant relationship into insignificant. Further, the sobel test conducted
confirmed the existence of partial mediation in the model (z = 2.3003, p = 0.0214).
The results confirm and explains the effect of job satisfaction on employee’s
attachment to an organisation. As reported, the variance of employee’s psychological
attachment to an organisation is explained by the relationship between psychosocial
risk management and job satisfaction. As previously postulated by [19] psychosocial
factors are work related stress or deficiencies which possess harm to the life and
wellbeing of individuals in relation to work and its environment. Managing these
factors is critical in shaping behavioural outcome of individuals as they perceive
management commitment to health and safety before making decisions. From the
analysis, it is therefore suggested that an individual becomes psychologically attached
to an organisation when psychological risk is properly managed to give job satisfaction.
As postulated by [29], satisfaction can never be gained when the work itself does not
motivate and gives the worker some level of job satisfaction or happiness. It is also
argued that higher levels of job satisfaction from psychosocial risk management will
result in higher level of psychological attachment. The results of this study further
suggest that leadership commitment to prioritizing safety and health by reducing the
impact of strain, stress and other work related diseases as a result of psychosocial risk
has the tendency of positively influencing behavioural outcome of workers such as
attachment, loyalty and reducing turnover intent. The findings again supports the Job
Characteristics Model proposed by Hackman and Oldham which states that job char-
acteristics such as autonomy, task significance and task identity has great influence on
work outcomes like absenteeism, commitment, work motivation but subject to the
control of employees psychological state. In addition, the Job Demand Control model
explains how high demand and low job-control negatively affects the performance of
individual. Base on the model, individuals are likely to experience stress or strain from
the job when there is lack of control but high work expectation [31]. Work must be
designed in such a way that employees will have some level of control to reschedule,
relate, minimize risk and gain happiness and satisfaction from what is been done [5,
32]. As postulated by [33] there will always be a negative relationship between
occupational stressors and attitudes to change, further suggesting that, highly stressed
individuals exhibit decreased commitment and are reluctant to accept change inter-
ventions. Similarly, [34, 35], found that lack of social or work support in a psy-
chosocial risk environment will result in individual resistance to change and negative
attitude to work. However, psychosocial environment predicts the absence from work
for medically prescribed disease [36]. It is important to note that, the psychological
wellbeing of employees is negatively affected as a result of accidents, injuries, poor
conditions of work, lack of development, job dissatisfaction and high job expectation
[37, 38]. However, [25] suggest, to increase the level of control over working hours,
holidays, breaks, encouraging workers participation in decisions related to the work-
station and work distribution gives workers satisfaction to the work and increase
productivity. The tendency of workers experiencing strain is low once potential psy-
chosocial risk factors are managed. Fundamentally, job satisfaction is key in ensuring
workers are psychologically attached to the organisations when psychosocial risk
factors are managed.
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Prevalence, Risk Factors, and Impact on Low
Back Pain Among Nurses in a Thai
Public Hospital
Manutchanok Jongprasithporn1(&), Nantakrit Yodpijit2,

Varisara Saengdaeng1, Manutsamon Treralertpanith1,
and Supatra Poemoon1
1
Department of Industrial Engineering, Faculty of Engineering,
King Mongkut’s Institute of Technology Ladkrabang, Bangkok, Thailand
manutchanok.jo@kmitl.ac.th,
manutsamon.tre@gmail.com, supatrapm@gmail.com
2
Center for Innovation in Human Factors Engineering and Ergonomics,
Department of Industrial Engineering, Faculty of Engineering,
King Mongkut’s University of Technology North Bangkok, Bangkok, Thailand
nantakrit@gmail.com
Abstract. Nursing is one of the occupations with a high risk for the occurrence
of low back pain, affecting both health and working abilities. The low back pain
management among healthcare professionals could be one of the key implica-
tions to prevent and control injuries and accidents related to low back pain. This
research aims to study the prevalence, risk factors, impact, and guidelines on
low back pain management. Another aim is to assess the low back pain
knowledge among working nurses. One hundred nurses (78 females and 22
males) aged 34.2 ± 8.8 years from a Thai public hospital, were participated in
this study. The survey was distributed to all participants to access to personal
information, work information and low back pain assessment. The results
showed that there were about 86 nurses experiencing low back pain at the time
of the study. The severity was analyzed according to the Fairbank disability
scores from Oswestry low back pain disability questionnaires. There were mild
disabilities about 71% among participants. The three greatest impacts of low
back pain on the daily activities were standing (31%), sitting (26%) and walking
(26%) respectively. Risk factors associated with low back pain were age, body
mass index, weight, duration of employment, gender, marital status, job cate-
gory, smoking and wearing high-heeled shoes. Specific tasks were ranked from
the greatest to the least that associated with low back pain. There are following:
pushing or pulling loads, twisting the trunk, bending forward or leaning back-
ward, lifting heavy objects with two hands and carrying loads with one hand.
The massage therapy, relaxation, and pain killer medication were as common
low back pain management among nurses. Most of the nurses assessed their
knowledge about low back pain at a moderate level.
Keywords: Low back pain Risk factors Nurses

https://doi.org/10.1007/978-3-030-20145-6_40
404 M. Jongprasithporn et al.
1 Introduction
Nurses are an important health professional in health care systems. They have the
highest proportion of about 70% of all health service personnel [1]. According to the
work tasks, nurses had found to be at risk of exposure to health hazards of work
environments and work conditions. Those hazards affect health deviation including
illness and injury [2]. Nursing staffs are involving patient care such as lifting and
carrying tasks which result in disorders of the skeletal system and the muscles [3]. The
research of Jellad and colleagues found that 74.5% of the nurses with musculoskeletal
disorders had low back pain [4].
Low back pain defined as back pain under the ribs down to the buttock which can
be caused by many reasons and lead to muscle disease, neurological disorder, bone
disease and have a major effect on nurse’s working ability [5, 6]. In addition, low back
pain also has an effect on the organization in personnel management and nursing care
quality. It also leads to a shortage of nursing staff due to the increasing number of sick
leave, job transfer and resignation among nurses [7].
Low back pain is the most common and is a current concerned health problem [3,
4]. From the previous study, the prevalence of back pain in nurses per year was in the
range of 40 to 50% and the prevalence of back pain at least once in a lifetime was
between 35 to 80% [8]. The severity of low back pain study from Ovayolu and
colleagues [9] found that 84.2% of the nurses had low back pain. 66.7% of nurses with
pain had a moderate level of severity.
However, low back pain in nurses comes from both nursing and non-nursing work
such as lifting object or pushing and pulling load [10]. Several researchers reported that
the most common cause of low back pain is overexertion of a large amount of force
during moving patients [7]. In addition, the exertion in poor ergonomics is a huge
factor in increasing the severity of low back pain [4]. According to the study of other
risk factors, 65.6% were due to changing bed pad while patients in bed, 68.8% of
nurses who have low back pain were due to turning and lifting patients in bed, 97.9%
from prolonged standing and 95.8% from forward bending posture [9].
Based on previous information, low back pain and musculoskeletal disorders
among the nursing profession is an issue that needs to prevent and control to improve
the quality of life and occupational health and safety. This study focused on the
prevalence, risk factors and impact of low back pain among nursing staff during
working in the hospital. Moreover, another purpose is to study guidelines on low back
pain management and aims to assess the low back pain knowledge from a nurse
working. The results of this study could use as a guideline to prevent and control unsafe
acts and unsafe conditions during working. The guideline could provide advice to the
nursing profession in the future.
2 Method
In this study, the set of questionnaire was used to access prevalence, risk factors and
impact of low back pain among nursing staff during working. One of a Thai govern-
ment hospital, has 725 employees, was studied to reveal the knowledge related to the
Prevalence, Risk Factors, and Impact on Low Back Pain Among Nurses 405
low back pain issue. The appropriate number of participate nurses was calculated by
using Taro Yamane’s method [11]. At least 88 samples out of 725 populations were
adequate sample size number for this study. Therefore, this study decided to distribute
questionnaires to 100 volunteer nurses, aged 34.21 ± 8.81 years old. In this study,
nurses are working in various departments as follows: outpatient department (56
nurses), inpatient department (30 nurses), emergency room (6 nurses), and operating
room (8 nurses).
The questionnaire was devised into three parts as follows:
Part 1: General information about the individual: age, sex, weight, height, con-
genital disease, information on smoking and drinking alcohol, exercise, experiences
in wearing high heels and pregnancy.
Part 2: Work Information: position and working department, working date,
working hours per day and posture during working.
Part 3: Low back pain assessment: previous accidents or surgeries in the back area,
lower back pain from past to present, the frequency of lower back pain, the severity
level of pain, approach to dealing with pain and impact on daily life using Oswestry
Low Back Disability Questionnaire [12].
The Oswestry Low Back Disability Questionnaire is the ‘gold standard’ of low back
functional outcome tool which use to measure a patient’s permanent functional dis-
ability. The Oswestry Questionnaire is including ten sessions as follows: Pain intensity,
Personal care (washing, dressing etc.), Lifting, Walking, Sitting, Standing, Sleeping,
Sex life, Social life, and Travelling. Fairbank disability scores were used to score the
questionnaire. For each section, the total possible score is 5 with the first statement
scoring 0 through to the last at 5.
For example, Sect. 1 - Pain intensity
• I have no pain at the moment. Score = 0
• The pain is very mild at the moment. Score = 1
• The pain is moderate at the moment. Score = 2
• The pain is fairly severe at the moment. Score = 3
• The pain is very severe at the moment. Score = 4
• The pain is the worst imaginable at the moment. Score = 5
The statistical analysis was performed through T-test and ANOVA by MINITAB 18 to
find out the prevalence, the risk factors, and the effects of low back pain on nurses daily
life, the management approach, and level of knowledge related to low back pain.
3 Result
3.1 Occupational Characteristics

The questionnaires were distributed to 100 nurses. There were not have any drop-off
and 100 sets of the questionnaires were fully completed and returned, yielding 100% of
response rate. The participants’ characteristics are shown in Table 1. The participant’s
average duration of employment was approximately 11.58 ± 8.75 years with the mean
working hours per day of 8.86 ± 1.74 h. The frequency of exposure to postures during
working activities is shown in Table 2.
Table 1. Personal characteristics of the participants

Characteristics No. of subject
(n)
1. Gender
Male 22
Female 78
2. BMI (kg./m2)
Less than 20.00 33
20.00–24.99 44
25.00–29.99 21
More than 30.00 2
3. Education
Diploma 12
Bachelor’s degree 79
Above the bachelor’s degree 9
4. Position
Head nurse 7
Staff nurse 76
Nurse assistant 17
5. Congenital disease
Yes 30
No 70
6. Frequency of drinking
Never 75
Sometimes 25
Always 0
7. Frequency of smoking
Never 89
Sometimes 9
Always 2
8. Regular exercise
Never 22
Sometimes 56
Always 22
10. Wearing high-heeled shoes
Yes 16
No 84
11. Pregnancy status
Yes 1
No 99
Table 2. The posture of nurses during working activities

% of subject
Hardly ever Occasionally Sometimes Frequently Always
Sitting for a long time 7 46 39 7 1
Standing for a long time 0 12 46 33 9
Walking 0 6 32 57 5
Bend forward/backward 4 32 39 24 1
Twisting the trunk 5 23 50 20 2
Pushing or pulling loads 4 27 23 44 2
Lift loads with 2 hands 11 31 26 31 1
Carry loads with 1 hand 10 40 25 25 0
3.2 Presence of Low Back Pain
(1) Prevalence of low back pain

There were 86 and 79 of nurses, undergoing low back pain during work and after
work, respectively. According to the questionnaire, this study found that the duration of
low back pain was less than one year (37), one to two years (24), three to five (21) and
more than five years (18). The prevalence of low back pain among nurses was as
following: once time per year (14), two to five times per year (19), once a month (26),
once a week (36) and always (5).
(2) The severity of low back pain
The severity of low back pain was assessed by the Numerical Rating Scale (NRS).
2% of nurses evaluated pain in the highest score as “level 8” and 6% of nurses
evaluated the lowest scores as “level 1”. The average NRS score was approximately
4.06 ± 1.62. The proportion of NRS score is shown in Fig. 1.
Fig. 1. Low back pain severity according to NRS score

(3) Impact of low back pain

Assessment of low back pain’s impact was performed by Oswestry Disability
Questionnaire (ODQ) and classified the severity of disability according to Fairbank’s
method (Fairbank Disability Scores). The results showed that most of the nurses had
pain attacks at a level of “minimal disability” (71%), as seen in Table 3.
Table 3. The severity of functional disability according to Fairbank Disability Scores.

Level of severity % of subject
Minimal disability (0% to 20%) 71
Moderate disability (21% to 40%) 26
Severe disability (41% to 60%) 3
Crippled (61% to 80%) 0
Disabled (81% to 100%) 0
In addition, the greatest impact of low back pain on the daily activities were
standing (31) following by walking (26), sitting (26), lifting (24), social life (17),
travelling (14), personal care (11), sleeping (5) and sex life (4.5), respectively as shown
in Table 4.
Table 4. Percentage of disability score in each section of the Oswestry Disability Questionnaire.
Impact of low back pain on daily activity The score in each section
(%)
0 score 1 score 2–5 score
1. Pain intensity 49 25 26
2. Personal care 62 27 11
3. Lifting 18 58 24
4. Walking 40 34 26
5. Sitting 34 40 26
6. Standing 14 55 31
7. Sleeping 72 23 5
8. Sex life 84 12 4.5
9. Social life 64 19 17
10. Traveling 54 32 14
3.3 Factors Associated with Low Back Pain Among Nurses

A series of related factors were entered in the multivariable analysis. Quantitative
factors and qualitative factors were compared among nurses, non-experienced and
experienced low back pain, including age, weight, height, duration of employment,
working hours, gender, marital status, position, congenital disease, frequency of
drinking and smoking, exercising, back injury from accident, wearing high-heeled
shoes and pregnancy status.
The relationship between related factors, quantitative factors and qualitative factors,
and the participant’s status of experiencing low back pain is shown in Tables 5 and 6,
respectively.
Table 5. The relationship of quantitative factors and participant’s status of experiencing low
back pain using 2-sample t-test (*p-value < 0.05).
Quantitative parameter Status of experiencing pain P-value
Non-experienced Experienced
n(%) N(%)
Mean age (Years) 29.29 ± 7.85 35.01 ± 8.74 0.023*
Mean BMI (kg./m2) 20.42 ± 2.18 22.54 ± 3.64 0.006*
Weight (kg.) 52.31 ± 5.24 59.70 ± 11.00 0.000*
Height (cm.) 160.14 ± 4.19 162.53 ± 6.47 0.185
Duration of employment (Years) 7.14 ± 7.80 12.30 ± 8.72 0.040*
Working hours per day 8.93 ± 2.09 8.85 ± 1.69 0.872
Table 6. The relationship of a qualitative factor and participant’s status of experiencing low
back pain using One-Way ANOVA (*p-value < 0.05).
Qualitative parameter Status of experiencing low p-value
back pain
Non-Experienced Experienced
n(%) n(%)
Gender 0.032*
Male 1 (4.55) 21 (95.45)
Female 13 (16.67) 65 (83.33)
Marital status 0.013*
Single 11 (22.92) 37 (77.08)
Married 3 (5.77) 49 (94.23)
Education 0.306
Diploma 0 10 (100)
Bachelor’s degree 13 (16.05) 68 (83.95)
Above a bachelor’s degree 1 (11.11) 8 (88.89)
Position 0.018*
Head nurse 0 7 (100)
Staff nurse 13 (17.11) 63 (82.89)
Nurse assistant 1 (5.88) 16 (94.12)
Congenital disease 0.288
(continued)
Qualitative parameter Status of experiencing low p-value
back pain
Non-Experienced Experienced
n(%) n(%)
Yes 2 (6.67) 28 (93.33)
No 12 (17.14) 58 (82.86)
Frequency of drinking 0.472
Never 9 (12) 66 (88)
Sometimes/Always 5 (20) 20 (80)
Frequency of smoking 0.05*
Never 13 (14.61) 76 (85.39)
Sometimes/Always 1 (9.09) 10 (90.91)
Regular exercise 0.348
Never 1 (4.55) 21 (95.45)
Sometimes/Always 13 (16.67) 65 (83.33)
Wearing high-heeled shoes 0.03*
Yes 5 (31.25) 11 (68.75)
No 9 (10.71) 75 (89.29)
Pregnancy status 0.689
Yes 0 1(100)
No 14 (14.14) 85 (85.86)
Back injury from an accident 0.273
Never 14 (15.05) 79 (84.95)
Ever 0 7 (100)
Back surgery 0.483
Never 14 (14.43) 83 (85.57)
Ever 0 3 (100)
According to the significant associations between the related factors and prevalence
of experiencing low back pain, it was found that there were a statistically significant
relation of low back pain with age, BMI, weight, duration of employment, gender,
marital status, position, the frequency of smoking and wearing high heeled shoes.
However, height, working hours per day, congenital disease, the frequency of drinking,
exercising, back injury, back surgery, and pregnancy status were observed to be no
statistically significant difference (p-value > 0.05).
When the relationships between some of the related factors and low back pain
occurrence were evaluated, there was a statistically significant difference between male
and female (p-value = 0.032). It revealed that male had significantly 4.2 times of
having back pain greater than female (Odds Ratio = 4.2). In addition, nurse assistants
have a 3.3 times greater risk of experienced low back pain than staff nurses (excluding
head nurses) with an Odds Ratio of 3.30. Moreover, smokers had a 1.71 times higher
risk of back pain compared with the non-smokers (Odds Ratio = 1.71).
However, because of the small numbers of the pregnant subjects were presented
during the survey and accident victims who had back injury or surgery, it cannot be
clearly stated that these are not a factor affecting low back pain.
3.4 The Posture of Non-experienced and Experienced Low Back Pain

Participant During Working
According to a comparative of posture between non-experienced and experienced low
back pain subjects, the posture of subjects with low back pain was significantly dif-
ferent from those without low back pain. The greatest is pushing or pulling loads
following by twisting the trunk, bend forward or lean backward, lifting heavy objects
with 2 hands and carrying loads with 1 hand, respectively as shown in Table 7.
Moreover, It was observed that the prevalence of low back pain increased after
employment compared to the pre-employment period.
Table 7. Comparison of posture during working activities between non-experienced and

experienced low back pain participant, using One-Way ANOVA (*p-value < 0.05).
Non-experienced/Experienced (%) p-value
(Total non-experienced 14 subjects)/(Total experienced 86
subjects)
Hardly ever Occasionally Sometimes Frequently Always
Sitting for a long time 14.29/5.81 50.00/45.35 28.57/40.70 7.14/6.98 0/1.16 0.763
Standing for a long time 0/0 21.43/10.47 57.14/43.02 14.29/37.21 7.14/9.30 0.308
Walking 0/0 7.14/5.81 57.14/27.91 28.57/61.63 7.14/4.65 0.129
Bend forward/backward 21.43/1.16 35.71/31.40 35.71/39.53 7.14/26.74 0/1.16 0.004*
Twisting the trunk 21.43/2.33 28.57/22.09 42.86/51.16 0/23.26 7.14/1.16 0.001*
Pushing or pulling loads 0/2.33 42.86/18.60 35.71/25.58 21.43/51.16 0/2.33 0.000*
Lift loads with 2 hands 14.29/10.47 64.29/27.91 21.43/25.58 0/36.05 0/0 0.008*
Carry loads with 1 hand 14.29/8.14 50.00/36.05 35.71/26.74 0/29.07 0/0 0.024*
3.5 Low Back Pain Management

The most common low back pain management method was massage therapy (28),
followed by relaxation from work (19), painkiller medication (16), self-relief (12),
reducing unnecessary movements during working (9), exercising (8), visiting doctor
(4) and reducing unnecessary movements during stay at home (4) respectively.
3.6 Level of Knowledge About Low Back Pain and Risk Factors
According to the questionnaire, assessment of the level of knowledge about the causes
and risk factors that affected low back pain and treatment guidelines is as follows:
Level 5 Expert (7), Level 4 Advanced (26), Level 3 Intermediate (44), Level 2 Novice
(18), Level 1 Fundamental awareness (5), and Level 0 Not applicable (0).
4 Discussion
It was observed that 86% of the nurses experienced low back pain at the time of the
study. The prevalence of low back pain among nurses in this study was found to be a
higher rate compared to the study of Engels et al., which showed that the prevalence of
low back pain among nurses was approximately 36% [13]. The differences of this result
might relate to low back pain definitions, age, and duration of careers.
In this study, most nurses were a minimal disability and there were no respondents
who were classified as crippled and disabled. The nurses in this study are available in
working and have no severe pain. However, Ovayolu et al. [9] found that 66.7% of the
nurses evaluated as moderate disability, and 7.3% were a severe disability, due to
sampling in different demographics.
The results showed that most of the nurses with low back pain experienced pain
after employment which is similar to the previous study, revealed that working in
professional nursing had a higher risk [14]. However, the nurses in this study were
employed more than 10 years and had averaged working hours more than 8 h per day
resulting in an increase of low back pain due to increasing age, muscular degeneration
and excessive working hours.
Another finding was the risk factors associated with low back pain were age, body
mass index, weight, duration of employment, gender, marital status, the frequency of
smoking and wearing high heels. In addition, nurse assistants have a 3.3 times greater
risk than staff nurses (excluding head nurses). This observation was supported by
Venning et al. [15] which revealed that nurse assistants had a 1.77 times higher risk
than staff nurses. Furthermore, the relationship between gender and low back pain
showed that males were experienced low back pain about 4.2 times compared to
females. However, the previous study [13] did not find the correlation between gender
and prevalence of back pain. This may be associated with the occupational charac-
teristics difference between genders, and the responsibilities which males are more
likely to be overworked than females.
The previous study revealed that there was a significant relationship between
smoking and low back pain. The smoking could impair the nutrition and disturbing
blood flow, resulting in back pain experiencing [16]. This study had a similar finding
that the smokers had 1.71 times higher risk compared to the non-smokers. Height,
working hours, congenital disease, the frequency of drinking, exercising, back surgery,
and pregnancy status were observed to be no significant difference in low back pain.
Back injury is determined to be non-effective, different from a previous study [15]
which reported that higher prevalence found among nurses experiencing back injury
1.73 times. Moreover, wearing high-heeled shoes have been determined to affect in low
back pain. A similar result was obtained in another study [17], wearing high heels
caused back pain because of the imbalance during walking and standing.
The postures of nurses with low back pain were significantly different from those
without back pain. The most common task that leads to low back pain is pushing or
pulling loads. Similarly, another study was assessed that pushing loads and prolonged
standing or walking more than 4 h a day may increase the risk of low back pain [10,
18]. In previous studies, it was suggested that good posture can reduce the severity of
back pain and exercises would prevent back pain and also minimize the chance of
suffering low back pain [19].
According to the most common low back pain management method, the result was
consistent with the previous study. The low back pain had an effect on works such as
having difficulty to complete their activities, taking several days off and an increasing
medical treatment costs [7].
The assessment of perception about causes, risk factors, and treatment among nurses
revealed that most of them assessed their knowledge level as ‘intermediate level.’ This
level was associated with a higher back pain prevalence. Therefore, nurses who were
educated about the work-related risk factors may be working under appropriate working
conditions, leading to a decrease in prevalence and severity of low back pain.
5 Conclusion
In conclusion, the study demonstrated that the prevalence of low back pain among
nurses in one Thai public hospital was at a high rate. They were a mild disability
according to the Fairbank disability scores and average numeric rating scale (NRS) is
approximately 4.06 ± 1.62. The risk factors associated with low back pain were age,
body mass index, weight, duration of employment, gender, marital status, job category,
smoking and wearing high-heeled shoes. The most significant specific task, associated
with low back pain, was pushing or pulling loads. The greatest impact of low back pain
on the daily activities was standing according to the Oswestry Disability Question-
naires. The finding of this study showed that the most common low back pain man-
agement guideline was massage therapy, but the knowledge and preventive approach
about low back pain in nurses were still at the intermediate level.
There were several limitations in this study. A first limitation is a small number of
sample size. The study had been conducted only 100 surveys in one of Thai Public
Hospital. Thus, the results might not be generalized for nurses in all hospital in
Thailand. Secondly, collecting data by using the questionnaires without observation,
may lead to slight inaccurate information and conclusion. Therefore, combined a
survey method with the observation could help researchers analyze data to get an
accurate outcome. Based on the results of this study, low back pain continues to be a
very common problem in nurses. In further, identifying physical and psychological risk
factors related to the causes of low back pain are needed to be studied.
Acknowledgment. The nursing group and a government hospital in Thailand to collect infor-
mation from the questionnaires to analyze in the report have supported this research.
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Mobbing in Service Companies in Colombia.
A Silent Enemy
Carlos Marín(&) and Olga Piñeros(&)
Corporación Universitaria Minuto de Dios – UVD Occupational Health

Administration Program, Bogotá D.C, Colombia
camvcarlosmarin@gmail.com, carlos.marin@uniminuto.edu,
olgahelena77@gmail.com
Abstract. The interpersonal relationships in organizations have generated

deficient processes of interrelation due to labour harassment. Inadequate orga-
nizational dynamics, in addition to the lack of activation of administrative
management strategies for the prevention of these events, lead to the interior of
workplaces towards harmful environments, promoting scenarios of arbitrariness
and psychological violence.
The objective of this study is to identify psychosocial risk factors at work and
outside of work, in addition to stress symptoms in order to verify their rela-
tionship with workplace harassment and formulate organizational strategies for
their control. This is a mixed and correlational investigation. Realized in four
(4) companies of services of transport of raw materials for the industry of the
cement, in the municipality of the Calera of the department of Cundinamarca in
Colombia.
Keywords: Psychosociology Harassment Work Diagnosis

Psychological factors
1 Introduction
In Colombia, labour harassment has had a special treatment, dictating rules as a law, to
protect workers from the aggressions because of verbal and non-verbal communication
processes that seek to stigmatize and harm the worker due to its repeated and
camouflaged form [1].
Workplace harassment or mobbing occurs inside work environments. A person or
group towards others, through inappropriate behaviours, loaded with an aggressive and
insane communication, leading the victim to a total state of helplessness, causes this
situation.
Leymann (1996), in the operational definition of mobbing in the workplace, says:
“Psychological terror or mobbing in working life implies a hostile and immoral communication,
which is systematically directed by one or a few individuals mainly towards an individual who,
due to mobbing, is pushed into a situation of helplessness and helplessness, being held there by
continuous activities of psychological harassment. These actions occur very frequently (sta-
tistical definition: at least once a week) and for a long period (statistical definition: at least six
months). Due to the high frequency and long duration of hostile behaviour, this abuse causes
considerable psychological, psychosomatic and social suffering” [2].

https://doi.org/10.1007/978-3-030-20145-6_41
416 C. Marín and O. Piñeros
It is necessary to recognize that mobbing generates damage. Behaviours such as

psychological pressure, harassment, intimidation and terror, trigger a variety of reac-
tions in the person, affecting their economy and their family environment. This,
because the worker assumes the mistreatment, as if it were part of the salary, making it
spread, maintained and not reported [3].
It is necessary, not to confuse the behaviours of bullying or mobbing, with the
normal activities of supervision of work, such as, the control for the fulfilment of
orders, instructions, discipline, among others.
In Colombia, through legislation, organizations are oriented to guarantee work
environments in conditions of protection towards the constitutional rights of the
individual. Emphasizes that work must be carried out with dignity, justice and freedom,
protecting the honour, good name and mental health of those who perform it [4]. It is
thus, that the actions that go against these legal rights are determined, being these the
different modalities of labor harassment or mobbing; the bad treatment, the persecution,
the discrimination, the numbness, the inequity and the lack of protection.
Therefore, the aim is to promote in the organizations the good treatment to guar-
antee the labour harmony that when altered diminishes and annuls the good labour
relations and the organizational climate, becoming a disruptor that alters the commu-
nicative processes, making it highly polluting [5].
Hirigoyen, in the conference “Moral harassment at work” (2004), states that this is
derived from the work environment, offering organizational conditions for the harasser
to carry out his duties with actions such as; the retention of information and the
sabotage of means of work, among others [6].
In this sense Voguel (2002), says that workplace bullying is sought in the rela-
tionships of individuals but do not look at the conditions generated by work envi-
ronments, such as high levels of stress, pressure, poor communication, structures
inadequate organizational, among other aspects [7].
In the organization of work, we can find some dimensions that propitiate the labour
harassment, among which are; characteristics of leadership, relationship with subor-
dinates, social relations, control and autonomy over work, consistency of the role and
time out, which if not controlled can trigger labour harassment. The mentioned
dimensions are part of the intra- occupational conditions, planned in the battery of
instruments for the evaluation of psychosocial risk factors [8].
2 Material and Methods
Mixed and correlational research. We studied the relationship between intra-

occupational, extra-occupational dimensions, stress symptoms and mobbing.
Application of interviews to employees who manifested or implied the presence of
behaviours related to mobbing.
Research carried out in four (4) transport services companies of raw materials for
the cement industry, in the municipality of La Calera in the department of Cundina-
marca in Colombia. Population of 180 workers and sample of 168. All workers who
participated in the study signed the informed consent.
Mobbing in Service Companies in Colombia 417
Use of the “Instrument Battery for the Evaluation of Psychosocial Risk Factors”,
approved in Colombia by the National Government [9]. Resolution 2646 of 2008
establishes provisions and defines responsibilities for the identification, evaluation,
prevention, intervention and permanent monitoring of exposure to psychosocial risk
factors at work, as well as for the determination of the origin of the pathologies caused
by the occupational stress [10].
In this Resolution, psychosocial factors are defined as all those “that include the
intra-occupational aspects, extra-manual or external to the organization and the indi-
vidual conditions or intrinsic characteristics of the worker, which, in a dynamic
interrelation, through perceptions and experiences, influence the health and the per-
formance of people”.
In this definition, constructs are distinguished intra-occupational and extra-
occupational conditions.
The intra-occupational conditions are those characteristics of the work and its
organization that influence the health and well-being of the individual.
It is important to note that to identify mobbing, the work demands were taken into
account in this construct, with the dimension of role consistency; control over work,
composed of the control and autonomy dimension; Leadership and social relations at
work, composed of dimensions: characteristics of leadership, social relationships at
work and relationships with employees (subordinates).
Extra-occupational conditions include aspects of the worker’s family, social and
economic environment and include the time dimension outside of work.
These constructs make up domains, which in turn contain the dimensions under
study, to establish the occurrence of mobbing in the workers of the organization.
The instrument used for the study uses elements of the Demand - Control - Social
Support and Imbalance - Effort - Reward models, which describe and analyse work
situations in which stressors are chronic with a detrimental effect on health [11].
For the determination of pathologies derived from stress, use of the JCQ model for
the evaluation of stress of order, physiological, of social, intellectual, labour and
psycho-emotional behaviour [12].
The instruments used have reliability levels for the intra-occupational questionnaire
of 0.957; non-workload of 0.944 and stress of 0.83.
The following are the definitions of the dimensions:
Role Consistency, this consists of, the demands of the workday represented in
demands of time taken to the individual during the schedule, as well as the periods
intended for periodic breaks and breaks.
Control and autonomy over work, refers to the margin of decision that an indi-
vidual has on aspects such as the order of activities, the amount, the pace, the way
of working, breaks during the day and rest times.
Characteristics of leadership, It is the command management of the immediate
bosses, in relation to the planning, assignment of the work, achievement of results,
and resolution of conflicts, participation, motivation, support, interaction and
communication with their collaborators.
Social relations at work are the interactions with other people at work, particularly
in relation to;
• The possibility of establishing contact with other individuals in the exercise of

their work activity.
• The characteristics and quality of peer interactions.
• The social support received by colleagues.
• Teamwork (understood as undertaking and carrying out actions that involve
collaboration to achieve a common goal).
• Cohesion (understood as the force that attracts and binds the members of a group
whose purpose is integration).
Relationship with employees (subordinates), it deals with the attributes of the
management of subordinates in relation to the execution of work, achievement of
results, conflict resolution and participation. In addition, the characteristics of
interaction and forms of communication with the head office are considered.
Time off from work, refers to the time that the individual devotes to activities other
than work, such as resting, sharing with family and friends, attending personal or
domestic responsibilities, performing leisure activities and recreation.
The findings, product of the systematization of the data obtained from the instru-
ments, identified the psychosocial risks to which the study population is exposed.
The instruments for intra-occupational risk factors consist of form A for employees
in charge of headship, and form B for employees of operational level.
In addition, the instruments for the extra-occupational risk factors, individual
conditions and stress were completed.
The A form of intra-occupational conditions addresses to obey results in workers
with positions of leadership, that is to say those that have positions of direction and
control on workers, in addition, verify and control the operation, and respond to the
management by the results.
The instruments of form B are intended to obtain information from employees who
hold operational positions and comply with instructions issued by the management.
The individual condition analysed, is part of the worker’s personal environment,
inquiring about aspects such as sex, age, marital status, educational level, profession or
occupation, city of residence, socioeconomic scale, type of housing and number of
people who depend economically on the worker.
The stress questionnaire explores information to determine affectation in the indi-
vidual regarding physiological symptoms, social behaviour, and intellectual work and
psycho-emotional.
For the Mobbing approach, we proceeded to review the conditions, with respect to
the levels of risk obtained. Then, the reported alteration situations are correlated with
medium level, high or very high for stress, verifying the scores obtained by the intra-
occupational conditions in the domains of work demands, control and leadership, and
social and extra-labor relations with the time dimension outside of work.
The results obtained with these instruments allow us to compare the risks to which
the population is exposed.
The intra-occupational data obtained with leadership characteristics, social rela-

tionships at work, relationship with employees, control and autonomy over work, and
role consistency in forms A and B, were verified and correlated. In addition, the extra-
occupational condition with data of time away from work and stress, by its psychic and
psychophysical manifestations.
Form A, applied to workers with managerial work activities and with personnel
under command in some cases. Its activity manages results and responds for the work
of other collaborators. In addition, they have a level of training as professionals or
technicians, and a broad level of autonomy for decision-making. The charges included
to respond the way it was; plant manager, production engineer, plant manager, plant
supervisor, design engineer, quality manager, quality manager and quality control
inspector II.
Form B, applied to collaborators with knowledge of a technique, but with less
autonomy. They receive orders issued by a boss; this includes the positions of
administrative assistant, assistant, technical assistant.
This methodology understands the condition of extra-occupational risk as that
which analyses the socioeconomic and family environment of the worker and includes
housing conditions.
3 Results
The companies that participated in the research have an economic activity of trans-
porting materials for the cement industry.
They are located in the exploitation areas of quarries, jurisdiction of the munici-
pality of La Calera.
These companies reported a population of 180 workers. A sample represented in
168 workers, composed of eight (8) employees of the female gender and 160 of the
male gender.
Individual Conditions
In this condition, the information obtained from the 168 workers who participated in
the study yielded the following data:
Gender, were found eight (8) female employees, 5% and 160 male, 95%.
In administrative positions are the eight (8) employees, in addition to 12 male
workers.
There are 148 workers in the operational positions, all of them male.
Level of studie, the data obtained identify 48 employees with full baccalaureate,
29%; 80 has incomplete baccalaureate, 48%; four (4) employees have a profes-
sional degree, 2% and four (4) are technicians or technologists, 2%.
The following Table 1 shows the level of studies:
Table 1. Schooling of the participants

Schooling (last level of studies) n %
Full professional 4 2%
Incomplete postgraduate 4 2%
Incomplete professional 4 2%
Technical - Technological complete 4 2%
Technical - Incomplete Technology 16 10%
Full baccalaureate 48 29%
Incomplete baccalaureate 80 48%
Incomplete primary 8 5%
Grand Total 168 100%
With regard to age, 68 workers are over 46 years of age, 40% of the sample. In 56
workers are between 36 and 45 years old, 33%. In 11 of them, their age is between
24 and 35 years.
Seniority in the company, Table 2 shows the seniority of the worker in the
company:
Table 2. Antiquity in the company

Antiquity in the company Number of workers % Antiquity in the company
Less than a year 40 24
1 12 7
2 24 14
3 24 14
4 16 10
6 6 4
7 10 6
8 8 5
9 4 2
11 8 5
13 4 2
14 4 2
15 4 2
16 4 2
Grand total 168 100
Of the enrolled, 40 workers are less than a year old, 24% of respondents; 60
workers are between 1 and 3 years old, which corresponds to 36%. 22 of them are
between four (4) and six (6) years old, 13% of the respondents, and 46 workers are
over six years old, approximately 27% of them.
Evidence that 40% of the population has a seniority in the company, exceeding
four (4) years.
Civil Status, the workers express that 24 are single; 68 married; 4 widowers; 4
separated and 68 are in free union. Having 81% of the population a de facto marital
relationship.
People who depend economically on the worker, 95.2% of the workers have
people who depend economically on him.
Type of contract, the company employs 20 workers with a one-year temporary
contract, 12% of the total number of respondents; and 148 with an indefinite term
contract, 88% of them.
Type of housing, the results revealed that 55 workers live on rent, 28 in family
housing and 19 have their own home.
According to the established dimensions to find the correlation of factors of
psychosocial risk, intra-occupational, extra-occupational, and symptomatology of
stress, with labor harassment or mobbing, the results were the following:
Intra-occupational Conditions, occurrence of mobbing in 27% of the workers
included in the investigation.
For the employees in charge of headship, to whom the form A questionnaire was
applied, mobbing was evidenced:
In the dimension of role consistency, 75% of managers refer, very high risk, risk,
high and medium risk, because the actions to develop are contradictory, due to
contradictory orders given by the general manager.
In the dimension of control and autonomy over work, it behaved as a protector,
because, in the vast majority of cases, these personnel have the possibility of handling
situations on their own initiative to achieve the objective.
In the characteristic dimension of leadership, 75% of the workers in charge of
leadership, refer little or no training for the development of leadership skills.
In the dimension of social relations at work, this behaved as a protective factor,
because the positions of leadership are those who are part of the family of the owner
of the company.
In the relationship with collaborators dimension (subordinator), 50% of the heads,
express, “do not have the adequate competencies to lead the work groups”.
For workers with an operational position who answered the “Form B” questionnaire,
they present intra-occupational factors as precursors of mobbing, as well as:
The dimension control and autonomy over work, showed a 53% of affected
population, because their bosses “do not allow the initiative of the worker”, even
though the orders are not clear to them.
The dimension of characteristics of leadership, showed a level of involvement in
78% of the population, because they express inadequate communication dynamics.
The dimension of relationship with employees and social relations at work is

evident as a protective factor, because workers say that in equal positions, there are
good communication and dialogue dynamics.
Extra-occupational Conditions, influence was verified and its direct correlation
with the presence of mobbing in the time dimension outside of work.
Evidence that 89% have levels of Very High Risk, High Risk and Medium Risk.
Chiefs and operatives argue permanence in the workplace at times different from that
of the working day.
Stress Conditions, evidence of 70% of bosses and operatives with some type of
symptomatology associated with stress, as well (Table 3):
Table 3. Symptomatology associated with stress in workers

Symptom Discomfort n (%)
Physiological Muscle pains 118 (70%)
Palpitations
Irritable bowel
Headache
Daytime sleepiness
Social behavior Difficulty in relationships with other people 92 (55%)
Intellectuals and labor Increase in the number of work accidents 59 (35%)
Feeling of frustration
Fatigue
Psychoemotional Consumption of cigarettes and alcoholic beverages 87 (52%)
4 Conclusions
The dimensions of intra-occupational nature: role consistency, control and self-nomy

over work, characteristics of leadership, social relations at work, and relationship with
collaborators (subordinates), have a direct relationship with workplace harassment,
indicating that this is “practiced” in all places that the company is permissive [6].
It is evident that harassment occurs more in bosses, and less in operative workers.
In the case of bosses, work absenteeism can be reached, as well as lack of motivation of
co-workers [6].
The existence of mobbing in companies increases their action due to deficient
verbal and nonverbal communication processes.
The workers say that the boss “looks at them badly” and that “he speaks with
shouts”.
It is required, therefore, that organizations promote work environments, where good
treatment is promoted, good communication, to reach working environments in a
healthy relational and communicative coexistence [5].
Evidence that physiological, social, intellectual, psychological and psycho-
emotional symptomatology are indicators of anxiety.
It confirms a social behavior regarding the difficulty in relationships with other
people [13].
It also confirms feelings of isolation and disinterest, in addition to feelings of

frustration that lead to expressions of sadness, fatigue or reluctance, in front of their
work, and the team to which they belong. Decrease in work welfare, physical and
mental health [14].
This study allows us to take into consideration that the organization should guide its
preventive management of workplace harassment, from the beginning of the process of
recruitment and selection of personnel, through the development of personality tests
and coping that identify possible behaviours of a profile stalker.
In addition, it is necessary for companies to design an optimal manual for induction
and re-induction, which contains the policies for the prevention of workplace harass-
ment, the procedure for dealing with complaints and information regarding the pre-
vention thereof, in workplaces.
It is determined as a limitation of this study, that companies “do not provide” true
information, considering that the organizational dynamics are well addressed, con-
sidering that there are no administrative failures regarding this issue.
Another limitation is that institutions do not allow access to all workplaces, thus
preventing direct dialogue with workers.
References
1. Leymann, H.: Aterrorización psicológica - el problema de la terminología (Análisis y
propuesta acerca del uso del término mobbing) (1996). http://www.leymann.se/
2. Leymann, H.: El Contenido y Desarrollo del Mobbing en el Trabajo (1996)
3. Marin, C., Piñeros, O.: La organización, el recurso humano y el mobbing. Hallazgos en
Colombia (2019)
4. Congreso de Colombia: Ley 1010 de 2006. Imprenta Nacional (2006)
5. Piñeros, O., Marín, C.: Psychosocial toxicity in Colombian service companies. In: 9th
International Conference on Applied Human Factors and Ergonomics, AHFE 2018, Orlando
Florida, USA (2018)
6. HIrigoyen, M.-F.: El acoso moral en el trabajo (2004)
7. Voguel, L.: La organización del trabajo: un ámbito decisivo en la lucha contra los
sufrimientos psicológicos, pp. 93–101 (2002)
8. Ministerio de la Protección Social: Batería de instrumentos para la evaluación de factores de
riesgo psicosocial. Imprenta Nacional de Colombia (2010)
9. Ministerio de la Protección Social de Colombia: Batería de instrumentos para la evaluación
de factores de riesgo psicosocial. Imprenta Nacional de Colombia (2010)
10. Ministerio de la Protección Social: Resolución 2646 Identificación, Evaluación, Prevención,
Intervención y Monitoreo Permanente de la Exposición a Factores de Riesgo Psicosocial
(2008). https://tinyurl.com/y9mnbo8a
11. Karasek, R.A., Tehorell, T.: Healthy Work. Stress, Productivity, and the Reconstruction of
Working Life, New York (1990)
12. Vega, S.: Riesgo psicosocial: el modelo demanda-control-apoyo social (II) (NTP 604) (2001).
http://www.insht.es/InshtWeb/Contenidos/Documentacion/FichasTecnicas/NTP/Ficheros/60
1a700/ntp_604.pdf
13. González, D.: El acoso psicológico en el lugar de trabajo: una aproximación desde la
psicología forense. Psicopatología Clínica Leg. Forense. 7, 41–62 (2007)
14. Piñeros, O., Marín, C.: Toxicología psicosocial. Disruptores y predictores. In: Una mirada a
docentes Colombianos, ORP 2017. Psicosociología (2017)
Changes and Differences in Mental Status
of Nurses: Using Mind Monitoring
System by Voice
Takumi Iwaasa1(&), Yasuyuki Yamada2, Yasuyuki Hochi3,

Yuki Mizuno3, Emiko Togashi4, Hidenori Hayashi1, Aya Okada5,
and Motoki Mizuno1,2
1
Chiba, Japan
tiwaasa@gmail.com, {hidehaya,mtmizuno}@juntendo.ac.jp
2
Faculty of Health and Sports Science, Juntendo University, Chiba, Japan
yayamada@juntendo.ac.jp
3
Japan Women’s College of Physical Education, Tokyo, Japan
hochi.yasuyuki@jwcpe.ac.jp, mizunoyuki.desu@gmail.com
4
Chiba Prefectural University of Health Sciences, Chiba, Japan
gbe127eimy@gmail.com
5
Juntendo University Nerima Hospital, Tokyo, Japan
a.okada@juntendo-nerima.jp
Abstract. The purpose of this study was to elucidate the changes and differ-
ences in mental activity status of nurses at a university hospital in Japan. We
adopted the technology to monitor mind status by voice inputted from apps on
iPhone and Android smartphones, which was developed by the members of the
Center of Innovation (COI) of the University of Tokyo. The technology shows
the long-term/short-term tendency of mind status, calculating emotional com-
ponents contained in voice cord, feature of voice, and fluctuation pattern, which
cannot be manipulated by person itself, involuntary reaction. After informed
consent, we delivered apps implemented the technology to 33 nurses (male = 4,
female = 29) belonging to the surgical ward of the university hospital in Tokyo
and requested the participants to input their voices at the beginning and end of
work shift for 14 days. We evaluated generation and age differences in mental
activity status and changes between the beginning and end of work periods,
between the day before a holiday and after a holiday, and between 16-h night
shifts and day shifts. This study suggests the possibility of viewing mental
activity status from voice noninvasively and supports the creation of healthy
workplaces by predicting mental disorder.
Keywords: Vitality Mental Activity Mind Monitoring System
1 Introduction
The diversification of working styles will create a work-friendly environment for

women, the elderly, those who have commitments of childcare, elderly care, or
household chores, as well as single-income and double-income families. Furthermore,
https://doi.org/10.1007/978-3-030-20145-6_42
Changes and Differences in Mental Status of Nurses 425
since the idea that “healthy employees drive profitable businesses” was advocated in
The Healthy Company (Rosen and Berger 1992), looking at employee health man-
agement from a managerial perspective has brought attention to the concept of health
management, which is a management method with various benefits including
enhancing productivity. Not only does it improve productivity and job satisfaction, but
health management is also thought to reduce employee’s medical expenses and
absenteeism.
On the other hand, in the field of nursing, “creating an environment where nurses
can continue to work with peace of mind throughout their lives” is one of the basic
philosophies of the Japanese Nursing Association (2019), and despite the fact that
improving nurses’ work-life balance and developing an environment that encourages
nurses to continue working have remained high on the agenda, there has been a lack of
progress to improve the health of nurses themselves and workplace reforms to improve
working styles.
Nursing is an important profession in our society as nurses work closely with
patients 24 h a day, 365 days a year to protect patients’ health and lives. Furthermore,
as nurses are required to make life-or-death decisions in a split second, are under
constant tension and intense stress, and have significantly higher quantitative workload
(work volume) and workload fluctuation (changes to work volume) than other job
types, they have more stress than other occupations; a fact that was confirmed in
research examining the level of occupational stress by profession (Haratani 1996). As a
result, a greater number of nurses tend to have mental health issues, which is why since
2015 medical institutions are also mandated to carry out stress checks in workplaces
with more than 50 employees, just like their corporate counterparts.
In most cases, stress checks are conducted using a written questionnaire. However,
written questionnaires can take from several minutes up to half an hour to complete,
making it difficult to execute multiple times throughout the year. Furthermore, it is not
suitable for monitoring changes in stress levels throughout the course of a day or week.
Amidst these circumstances, a groundbreaking technology, “Mind Monitoring Sys-
tem,” was being developed and tested at the University of Tokyo (Hagiwara et al. 2017;
Tokuno 2018). It is a state-of-the-art medical AI technology that attempts to ascertain
and analyze mental status from involuntary information (prosody, fundamental fre-
quency, etc.) contained in speech waveform data. By leveraging this latest technology,
this study aims to use speech to map out changes in mental status (stress and motivation
levels) as a means of ascertaining (visualizing) shifts in nurses’ mental state and stress
levels.
2 Methods
The participant nurses (n = 33) downloaded iPhones-and-Android-specific apps to

their smartphones, and twice a day for 14 days before work (before the start of their
shift) and after work (the end of their shift) they were asked to open the app while in the
nurses’ station and utter a pre-prepared short passage (approximately 20 s in length) six
times. Later, the speech data collected on the cloud was analyzed using AI technology,
426 T. Iwaasa et al.
and the nurses’ mental state was detected and expressed as a numerical value referred
to “Vitality” and “Mental Activity.”
Vitality is a short-term indicator and Mental Activity is calculated from the long-
term tendency of Vitality. Vitality ranges between 30 and 70, and Mental Activity
ranges between 40 and 70. They represent changes in the subject’s mental state. When
Mental Activity is low or falling, it indicates that the subject is not in a good mental
state and signifies the need for care such as getting sufficient sleep or reducing one’s
workload. In particular, if the value of Mental Activity falls continuously for 5 days or
more, if it falls 20 points or more in 7 days, or if the it remains low for 3 consecutive
days or more, then this indicates an unstable mental state and therefore greater care is
needed.
3 Results
There were many cases where accurate speech data was not able to be gathered due to
subjects forgetting to record utterances and not starting up their smartphone apps before
and after work for the full 14 days, or due to surrounding noises. As a result, a lot of
data was missing, leaving a total of 14 subjects for the final analysis. The mean age of
the subjects was 36.0 years (SD = 7.0), of which 1 was a head nurse, 1 a chief nurse
and 12 staff nurses.
The mean score of Vitality was 49.3 (SD = 8.4) and that of Mental Activity was
49.6 (SD = 5.7). Male subjects scored higher with averages Vitality of 56.5 (SD = 8.3)
and Mental Activity of 57.4 (SD = 3.4), whereas female subjects scored averages
Vitality of 47.9 (SD = 7.7) and Mental Activity of 48.0 (SD = 4.7). Looking at the age
breakdown among female subjects, who represented the majority of total subjects,
women in their 20 s scored averages Vitality of 44.3 (SD = 9.1) and Mental Activity of
42.9 (SD = 3.1), women in their 30 s scored averages of Vitality of 47.4 (SD = 6.7)
and Mental Activity of 47.8 (SD = 4.1), and women in their 40 s scored averages
Vitality of 50.1 (SD = 7.5) and Mental Activity of 50.6 (SD = 3.9). See Table 1.
Table 1. Mental status scores

Mental status Male Female Female Female Female
average average 20 s 30 s 40 s
[n = 3] [n = 11] [n = 2] [n = 6] [n = 3]
Mean score of 56.5 (8.3) 47.9 (7.7) 44.3 (9.1) 47.4 (6.7) 50.1 (7.5)
Vitality (SD)
Mean score of 57.4 (3.4) 48.0 (4.7) 42.9 (3.1) 47.8 (4.1) 50.6 (3.9)
Mental Activity
(SD)
Table 2. Changes in mental status
DATE 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31
Before Work After Work
BW AW BW AW BW AW BW AW BW AW BW AW BW AW BW AW BW AW BW AW BW AW BW AW BW AW BW AW BW AW BW AW
Subject A Vitality 56 - 46 - 47 44 46 55 - 41 - 50 39 54 51 54 44 56 39 46
Mental
Age group: 40s 56 - 50 - 49 47 46 48 - 47 - 47 47 47 47 47 47 47 47 46
Activity
Nightshift Nightshift Nightshift Nightshift
Gender: F Holiday Holiday Holiday
starts ends starts ends
Subject B Vitality 41 41 33 54 37 51 41 44 - - 42 - 34 - 51 - - 42 46 -
30s MA 51 49 46 48 46 47 47 47 - - 47 - 46 - 46 - - 45 45 -
F
Subject C Vitality 55 65 62 66 70 64 63 58 - 66 57 - 72
30s MA 54 56 57 59 61 61 62 61 - 62 63 - 66
Nightshift Nightshift Nightshift Nightshift Nightshift Nightshift
M Holiday Holiday Holiday Holiday Holiday
starts ends starts ends starts ends
Subject D Vitality 44 38 34 49 - 47 47 52 48 38 - - - 52
20s MA 41 38 35 38 - 40 41 42 43 42 - - - 43
Nightshift Nightshift Nightshift Nightshift Nightshift Nightshift Nightshift Nightshift
F Overtime Holiday Holiday H o l id a y H o l id a y
starts ends starts ends starts ends starts ends
Subject E Vitality 45 37 - 46 35 49 - - 58 41
30s MA 41 41 - 42 41 42 - - 44 44
Nightshift Nightshift Nightshift Nightshift
F Holiday Holiday Holiday Holiday Overtime Holiday Holiday Holiday Holiday
starts ends starts ends
Subject F Vitality 54 45 58 - 43 63 61 61
20s MA 59 53 58 - 55 57 58 59
Nightshift Nightshift Nightshift Nightshift Nightshift Nightshift Nightshift Nightshift
M Holiday Holiday Holiday Holiday Holiday Holiday Holiday
starts ends starts ends starts ends starts ends
Subject G Vitality - 45 45 48 43 44 - 49 37 - 45 - 57 54 57 - 44 - 39 - 39 - - 44
30s MA - 46 45 45 44 44 - 44 42 - 43 - 44 45 45 - 45 - 45 - 44 - - 44
Finish Nightshift Nightshift Finish Finish Nightshift Nightshift
F Holiday
early starts ends early early starts ends
Subject H Vitality 57 54 45 - - 51 50 - 42 - - 48 44 - 56 45 44 - 37 - 49 -
30s MA 56 49 48 - - 49 49 - 47 - - 47 46 - 47 47 46 - 45 - 46 -
F Holiday Holiday Holiday Holiday
Subject I Vitality 35 37 - - - - - - - - 40 41 30 49 32 55 51 35 - 69 52 -
20s MA 45 43 - - - - - - - - 43 46 44 45 43 45 46 45 - 47 48 -
Nightshift Nightshift
F Overtime Holiday Holiday Overtime Holiday Overtime Overtime
starts ends
Subject J Vitality 47 52 50 58 55 58 51 49 44 56 50 60
30s MA 48 51 52 53 53 54 55 55 55 55 56 56
F Holiday Holiday Holiday Holiday Holiday Holiday
Subject K Vitality 40 48 57 57 53 50 51 51 43 - 45 61 46 -
30s MA 44 46 49 51 52 52 52 53 52 - 52 53 52 -
F Holiday Overtime Holiday Holiday Holiday Holiday
Subject L Vitality 53 43 58 55 51 59 43 55 50 - 59 42 43 -
30s MA 52 50 54 55 55 57 55 56 56 - 57 57 56 -
M Holiday Holiday Holiday Holiday Holiday
Subject M Vitality 41 54 - 48 37 - - 47 34 - - 47 44 61 49 58 42 - 39 40 - 60 -
40s MA 44 49 - 50 48 - - 48 46 - - 47 - 47 48 49 50 49 - 49 48 - 49 -
F Holiday Holiday Overtim e Ove rti m e Holiday
Subject N Vitality 55 54 54 61 62 46 46 62 66 51 58 60 48 57 45 54 52 56
40s MA 53 54 54 56 57 55 54 55 56 56 56 57 56 56 55 55 55 55
Finish
F Holiday Holiday Holiday Holiday Holiday Holiday
early
Changes and Differences in Mental Status of Nurses
427
428 T. Iwaasa et al.
3.1 Comparison of Mental Status Before/After Work

The average Vitality before work (start of shift) was 48.2 (SD = 8.8) and the average after
(end of shift) was 50.9 (SD = 7.1), and the average Mental Activity before work (start of
shift) was 49.5 (SD = 5.8) and the average after (end of shift) was 49.6 (SD = 5.5), which
were indicating higher scores at the end of the shift. In other words, this indicates that
nurses’ mental state is better after they have finished work. See Table 2.
3.2 Comparison of Mental Status Before/After Nightshifts

Vitality average before a nightshift was 51.0 (SD = 6.2), and the average after a
nightshift was 51.8 (SD = 8.0), and Mental Activity average before a nightshift was
50.3 (SD = 5.9), and the average after a nightshift was 50.5 (SD = 6.3), which were
indicating higher scores after finishing a nightshift. In other words, this indicates that
nurses’ mental state is better after they have finished a night shift.
3.3 Comparison of Mental Status Before/After Holiday Shifts

Vitality average before a holiday shift was 51.2 (SD = 8.0), and the average after a
holiday shift was 49.3 (SD = 9.2), and Mental Activity average before a holiday shift
was 50.2 (SD = 5.8), and the average after a holiday shift was 49.4 (SD = 6.3), which
were indicating lower scores after finishing a holiday shift. In other words, this indi-
cates that nurses’ mental state is worse after they have finished a holiday shift.
4 Discussion
There have been reports that truck drivers experience more work-related accidents on
Monday mornings after the weekend, and this study revealed that nurses tend to have a
deteriorated mental state after holidays. It is also suggested that after holidays, mental
function may also be lowered along with lower physical function.
Nurses work in shift work, often working both day and night shifts, with irregular
working hours. The way in which they take holidays also varies. Moving forward, it
will be necessary to extend the survey period to ascertain changes/shifts in mental
health under more complicated and diverse working conditions.
In addition, according to the results of this study, it was found that the state of mind
was better after night work than before work. There are a number of factors that
contribute to this, but these all fall within the realm of speculation. Moving forward, it
will be necessary to conduct interviews with nurses and behavioral observation
research in order to ascertain the causes.
5 Future Research
Research was conducted over a 14-day period using three types of technology. In
addition to Mind Monitoring System used in the study above, we also used the
wearable sensing devices (behavior sensor) which measure elements such as
Changes and Differences in Mental Status of Nurses 429
conversation time, conversation method, face-to-face time, utterance time, and listening
time by nurses during the course of their work; as well as the activity monitor devices
which collect behavioral data (such as daily exercise, calorie consumption, sleeping
time, number of steps and activity level) using a wristband-type wearable device
(Mizuno et al. 2015; Mizuno et al. 2017).
Currently, our research team has combined the three types of data from three types
of technology and is conducting integrated analysis that maps out emotions in speech,
communication channels, and physical activity levels. By conducting an integrated
analysis, we can gain a better understanding of the entire nursing organization and
move ahead with our research designed to create a vibrant organization where nurses
can continue to work comfortably and safely with peace of mind, with the aim of
“reforming the way in which nursing organizations work” and “revitalizing nursing
organizations.” This type of initiative is a pressing issue for medical institutions in
Japan, a country with a severely aging population, in order to cater to the lives and
health of patients and provide safe, high-quality medical and nursing care.
References
Hagiwara, N., Omiya, Y., Shinohara, S., Nakamura, M., Higuchi, M., Mitsuyoshi, S., Yasunaga,
H., Tokuno, S.: Validity of mind monitoring system as a mental health indicator using voice.
Adv. Sci. Technol. Eng. Syst. J. 2(3), 338–344 (2017)
Haratani, T.: Psychometric properties and stability of the Japanese version of the NIOSH job
stress questionnaire. In: 25th International Congress on Occupational Health, Book of
Abstracts, pt 2. Stockholm: 25th International Congress on Occupational Health, vol.
393 (1996)
Japanese Nursing Association (2019). http://www.nurse.or.jp/home/about/jigyou/
Mizuno, Y., Yamada, Y., Hochi, Y., Takahashi, H., Shoji, N., Aida, H., Okada, A., Mizuno, M.:
A study on communication activity and social skills of nursing organization. In: Advances in
Human Factors, Business Management, Training and Education, pp. 561–568. Springer,
Cham (2017)
Mizuno, M., Yamada, Y., Hochi, Y., Honda, R., Takahashi, H., Shoji, N., Aida, H., Okada, A.,
Mizuno, Y.: Behavioral sensor-based organizational design and management in Japan: from
the perspectives of communication channel in nursing organization. In: Proceedings 19th
Triennial Congress of the IEA, vol. 9, p. 14 (2015)
Rosen, R.H., Berger, L.: The Healthy Company Eight Strategies to Develop People Productivity
and Profit, 1st edn, Washington, USA (1992)
Tokuno, S.: Pathophysiological voice analysis for diagnosis and monitoring of depression. In:
Understanding Depression, pp. 83–95. Springer, Singapore (2018)
Neck and Shoulder Muscle Fatigue in High
Performance Aircrafts Pilots:
Effects of a Training Program (Part 2)
Giorgia Chini1(&), Alessio Silvetti1, Roberto Vitalone2,

Valeria Di Muzio2, Marco Lucertini2, Elena Lucertini3,
and Francesco Draicchio1
1
DIMEILA, INAIL Research Area, Monte Porzio Catone, Rome, Italy
giorgia.chini@gmail.com,
{al.silvetti,f.draicchio}@inail.it
2
Experimental Flight Center, Aerospace Medicine Department, Pratica di Mare,
Rome, Italy
{roberto.vitalone,valeria.dinuzio,
marco.lucertini}@aeronautica.it
3
Sapienza, University of Rome, Rome, Italy
Abstract. The aim of the study is to investigate the effect of a specific training
on muscle fatigue by means of the analysis of the amplitude and spectral
parameters of surface electromyography.
This report is a second part of our first paper on muscle fatigue in high
performance pilots.
One experienced jet pilot was enrolled for this study. sEMG activity of the
neck and shoulder muscles was recorded before and soon after a flight on
European Fighter Aircraft. Afterwards, the pilot followed a specific neck and
shoulder muscles training and he was recorded before and soon after a flight.
Muscle activity was recorded bilaterally from Sternocleidomastoid, Upper and
Middle Trapezius muscles. The temporal changes of amplitude and frequency of
the sEMG signals were calculated on root mean square values, median fre-
quency of the power spectrum and on spectral full width at half maximum.
The main finding of this study is that training strengthened the muscles of
both the dominant and non-dominant side, as through the fatigue indexes we
observed less fatigue after flight after the training.
It is possible to conclude that it would be important to incorporate neck and
shoulder specific training in the list of operational duties. Moreover, by studying
sEMG fatigue parameters, it is possible to obtain more detailed information
about neck stress in order to deeper understand some of the causative factors for
neck pain, so it would be possible to provide recommendations and tools to
increase and improve the career longevity of jet pilots.
Keywords: Neck pain Surface electromyography Muscle fatigue

Jet pilots RMS MDF FWHM

https://doi.org/10.1007/978-3-030-20145-6_43
Neck and Shoulder Muscle Fatigue in High Performance Aircrafts Pilots 431
1 Introduction
It is well known that neck pain and discomfort are reported with high prevalence
among jet pilots compared to the general population, e.g. [1–6]. Hamalainen [7] states
that it is important to perform further epidemiological studies to understand the risk
factors and the contribution of specific neck training in order to prevent acute neck pain
among fighter pilots. Some interventions would focus on aircraft design and personal
protective equipment, while others are directed towards pilot training. In literature,
various primary prevention strategies are reported, such as preflight warm-up, in-flight
techniques, muscle resistance training, neck-specific training regimens and techniques.
Different studies have suggested resistance training interventions designed just for the
neck muscles [8–12], while other have indicated whole-body resistance training, either
alone or together with neck specific training, [9–12]. The importance of specific
physical exercise has also been emphasized by Harrison et al. [13], which found that
the smaller muscles are more prone to increase muscular activity while wearing a night
vision goggle (NVG) and a night vision goggle with counterweight (NVGcw) and
suggested the importance of incorporating neck-specific training regimens in the list of
operational duties.
The strengthening of neck and shoulder muscles in jet pilots is very important
because they are exposed to forces that easily exceed 4 Gz and have been associated
with potential neck injury [14, 15]. Furthermore, in a review by Cockwell [8], the
author summarizes five common neck movements that under high Gz forces can
considerably increase neck damage in jet pilots: (i) rotation beyond 35°, (ii) lateral
bending, (iii) extension beyond 30°, (iv) flexion beyond 15° and (v) “check six”
maneuvers.
Another risk factor to take into account is jet seat-back angle. A 30° backward seat
on one hand increases G tolerance reducing blood displacement due to sustained high
G, but F-16 pilots require 15° forward neck flexion with respect to the trunk, in order to
maintain a horizontal gaze. It has been proved [16] that an F-16 jet pilot showed higher
neck muscle and joint reaction forces if compared with those of other jets due to its 30°
reclining seat-back respect to more vertically oriented seats (12°–13°) such as F-15, F-
22 and Eurofighter Typhoon jets.
Verde’s survey questionnaire [17] confirms these data. She found a neck pain
incidence of 48.6% in F-16 pilots compared with 5.7% in Eurofighter Typhoon pilots.
She also found a significant association between neck pain and an age over 30 years,
total flight hours and flight hours exceeding 600 h. Total flight hours have also been
reported as a significant factor also in the paper of Albano et al. [9]. He found that neck
injury risk increases by 6.9% per 100 h of total flying time in F-16 jet pilots.
Surface electromyography has already been widely used to quantify muscle activity
in jet pilots, e.g. [5, 13, 18]. For example, Bjorn et al., recorded the sEMG from eight
muscles, i.e. bilaterally from the sternocleidomastoid, upper neck extensors and upper
shoulder muscles in five fast-jet pilots on active flying duty. Each pilot performed two
flights in a dynamic flight simulator, one session wearing NVG and one session with
standard helmet mockup (control session). The pilots were exposed seven times to
3 Gz and aerial combat maneuvers, and three times to 7 Gz. The authors found that the
432 G. Chini et al.
additional helmet load, induced by night-vision equipment, causes greater muscle

activity than flying with standard helmet mockup during the more demanding
maneuvers. Sovelius et al. examined the sEMG of eleven Finnish Air Force pilots. The
pilots flew two basic air combat maneuvering sorties with and without a lumbar support
in random order. During these sorties the sEMG activity of the sternocleidomastoid,
cervical, thoracic and lumbar erector spinae muscles was recorded by means of bipolar
surface electrodes. Their results show that there seems to be a tendency toward a lower
muscle strain and increased number of sEMG gaps when the lumbar support is worn.
Moreover, the pilots’ subjective experiences were mostly positive after the flights with
the support. Lastly, Harrison et al. investigated sEMG of neck and shoulder muscle in
helicopter pilots in four different conditions randomly ordered: without helmet, helmet
only, helmet with NVG and helmet with NVG with counterweight. They examined the
activity of eight muscles, bilaterally recorded: splenius capitis, sternocleidomastoid,
upper and lower trapezius. They found a prevalence of increased muscle activity while
subjects wore the NVG or NVGcw in smaller muscle groups (i.e. the sternocleido-
mastoid and splenius capitis).
However, to our knowledge, no one has investigated neck muscle fatigue in iso-
metric conditions pre and post flight on Eurofighter Typhoon aircraft (EFA) before and
after a specific neck and shoulder muscle training.
This preliminary study aims to propose a method to investigate the effect of specific
training on muscle fatigue before and after a flight on EFA by analyzing the temporal
and spectral changes in the amplitude of the sEMG signal, evaluated using the Root
Mean Square (RMS) and the Median Frequency (MDF) and Full Width at Half
Maximum (FWHM). This report is a second part of our first paper on muscle fatigue in
high performance pilots [19].
2.1 Subjects
One male pilot was enrolled for this preliminary study. His height was 1.75 m, weight
70.5 kg and body mass index 23.02 kg/m2. He was left-handed, on active flying duty,
medically fit for flying duties and had no history of acute or chronic neck injuries, but
he experienced some musculoskeletal symptoms related to flying during his career.
After a full explanation of the experimental procedure, he signed the written informed
consent to participate in the study. The experiment was approved by the local ethics
committee, in compliance with the Helsinki Declaration and its revisions.
2.2 Instrumental Evaluation

The enrolled subject was screened using a 16-channel Wi-Fi transmission surface
electromyography (FreeEMG300 System, BTS, Milan, Italy) to detect the sEMG
activity of the neck and shoulder muscles before and soon after the flight, and before
and after a specific neck and shoulder muscle training. Training consisted of 6-weeks
specific exercises, twice a week for 30 min (Fig. 1).
After skin preparation, bipolar surface electrodes Ag/AgCl (F9079, FIAB, Flor-
ence, Italy) prepared with electro-conductive gel (diameter 1 cm, distance between the
electrodes 2 cm) were placed along the direction of the muscle fibers of the right and
left sternocleidomastoid (SCM), upper trapezius and middle trapezius (UT and MT,
respectively) according to the atlas of muscle innervation zones [20], (Fig. 2). The
electrodes’ positions were marked with a dermographic pen, to put the electrodes back
in the same points after the flight, in case they moved due to sweating.
The forces were measured using a digital dynamometer with a maximum load of
100 kg (Ergo Meter, Globus, Treviso, Italy).
Fig. 1. Examples of the exercises performed during the specific neck and shoulder training.
Fig. 2. Electrodes placement according the atlas of muscle innervation zones.
2.3 Experimental Procedure

Both before and after muscle training, data about the subject were acquired in two
sessions: at rest (baseline, before the flight) and in fatigue condition (after the flight).
Each session experimental procedure is explained in more detail in the following
paragraphs.
2.4 Baseline (at Rest)

Before the flight, the subject performed isometric maximal voluntary contractions
(iMVC) of each muscle to determine the maximum exerted force using a dynamometer.
These tasks were repeated three times after a rest period of 3 min between trials [21], in
434 G. Chini et al.
order to compute a mean maximum force value. To determine the MVC force, the
subject was instructed to increase the force from zero to his maximal force level, and to
hold it for 5 s. After a 2 min rest from the last iMVC, a 40% iMVC contraction (C40)
followed, and after a 3 min rest from C40 a 60% iMVC contraction (C60) was per-
formed for each muscle. The subject exerted a force target level of 40% and 60% of
iMVC shown on the dynamometer’s display (Fig. 3). The subject was encouraged to
keep these force levels for as long as he could to sustain an isometric contraction of
each muscle, and in any case for no longer than 2 min. The contractions ended when
the subject deviated from the sub-maximal force for more than 5 s. On the assumption
that the most stressed muscles were SCM and UT, the maximal and submaximal
contractions were performed in the order reported in Appendix in Table 1.
Fig. 3. This figure shows the subject looking at the dynamometer’s display while performing
the fatiguing tasks (40% and 60% of isometric maximum voluntary contraction illustrated on the
dynamometer’s display).
2.5 Fatigue Condition

Soon after the flight, the subject performed sub-maximal contractions of each muscle in
the same order as at rest. First C40, and 3 min later C60, were carried out. As at rest,
the subject was encouraged to keep these force levels for as long as he could sustain an
isometric contraction of each muscle, and in any case for no longer than 2 min. The
contractions ended when the subject deviated from the sub-maximal force for more
than 5 s. After the flight, the submaximal contractions were performed in the order
reported in Appendix in Table 2.
2.6 Data Analysis

The acquired sEMG signals were processed using Analyzer software (Smart Analyzer,
BTS, Milan, Italy) and Matlab (MATLAB 8.5.0, MathWorks, Natick, MA, USA) to
calculate the fatigue indexes. Raw sEMG signals were bandpass filtered (cutoff fre-
quencies 10–45 Hz). Fatigue plots were calculated on root mean square values
(rms) and median frequency of the power spectrum (MDF). Fatigue indices were
calculated for each signal by subdividing the signal into 500 ms epochs, within which
amplitude and frequency parameters were calculated. Since these parameters have
proven to have a linear trend [22], the linear regression was evaluated and then data
were normalized with respect to the intercept with the y-axis. The normalized slope,
indicating the variation rate with respect to the initial value, was used as the fatigue
index. Fast Fourier transformation (FFT) was performed on the filtered sEMG signals,
and the FWHM was computed as the frequency interval in which the FFT amplitude is
above 50% of its maximum.
3 Results
The fatigue index values before the training, calculated by using RMS, MDF and
FWHM, are shown in Fig. 4 for each sub-maximal contraction, and both before and
after the flight.
As far as the right side is concerned, in the C40 contraction, the RMS increases for
both the UT and MT, and it remains roughly the same for the SCM after the flight. On
the other hand, the MDF decreases both for the SCM and MT, and it remains almost
the same for the UT after the flight. Lastly, the FWHM decreases only for the UT, and
it increases both for the SCM and for the MT. In the C60 contraction, the RMS
decreases for the UT and MT after the flight, while it increases for the SCM. On the
other hand, the MDF decreases for both the SCM and MT after the flight, while it
increases for the UT. The FWHM decreases only for the UT and it remains roughly the
same both for the SCM and for the MT.
As regarding the left side, in the C40 contraction, the RMS decreases for all the
three investigated muscles after the flight. In the same way, the MDF decreases for all
the three investigated muscles after the flight. The FWHM decreases both for the UT
and MT, and it slightly increases for the SCM. In the C60 contraction, the RMS
increases for all the three investigated muscles after the flight. On the other hand, the
MDF decreases for both the UT and MT after the flight, while it remains nearly the
same for the SCM after the flight. The FWHM decreases only for the MT, it slightly
increases for the UT, and it remains roughly the same for the SCM.
Fig. 4. Bar heights represent the root mean square (RMS), median frequency (MDF) and full
width at half maximum (FWHM) values for each muscle both at 40% and at 60% of the isometric
maximal voluntary contraction (C40 and C60), before and soon after the flight, before the
training.
436 G. Chini et al.
The fatigue index values after the training, calculated by using RMS, MDF and
FWHM, are shown in Fig. 5 for each sub-maximal contraction, and both before and
after the flight.
As far as the right side is concerned, in the C40 contraction, the RMS decreases for
the MT and UT after the flight, while it increases for the SCM after the flight. On the
other hand, the MDF increases for both the SCM and UT, while it decreases for the MT
after the flight. The FWHM decreases for all the three investigated muscles. In the C60
contraction, the RMS increases for all the three investigated muscles after the flight.
The MDF increases for all the three investigated muscles after the flight. The FWHM
decreases both for the UT and MT and it slightly increases for the SCM.
As regarding the left side, in the C40 contraction, the RMS decreases for the SCM
after the flight, while it remains almost the same for both the UT and MT, after the
flight. The MDF decreases for both the UT and MT after the flight, while it remains
approximately the same for the SCM after the flight. The FWHM decreases for all the
three investigated muscles.
In the C60 contraction, the RMS increases for the SCM and UT after the flight,
while it decreases for the MT after the flight. Lastly, the MDF decreases for the three
muscles investigated after the flight. The FWHM decreases only for the MT, and it
remains the same for both the SCM and the UT.
Table 3 in Appendix shows the difference after and before the flight for each index
(delta), both before and after the training. Particularly it seems that RMS and FWHM
are not affected by training.
Table 4 in Appendix shows the maximal recorded force values exerted before the
flight, before and after the training. All muscles force values significantly grew after the
training.
Fig. 5. Bar heights represent the root mean square (RMS), median frequency (MDF) and full
width at half maximum (FWHM) values for each muscle both at 40% and at 60% of the isometric
maximal voluntary contraction (C40 and C60), before and soon after the flight, after the training.
4 Discussion
In this study, we investigated for the first time the effect of a specific neck and shoulder
training on the myoelectric manifestations of muscle fatigue of the neck and shoulder
muscles, before and soon after a daytime flight on European Fighter Aircraft.
It is well known that neck pain and discomfort are often reported by jet pilots, and
the cause of the aircrew’s neck trouble is most likely multifactorial, but it is difficult to
assess precisely. By definition, neck ‘trouble’ includes any combination of neck ache,
pain, discomfort [23], acute pain, chronic pain, stress and strain [24]. On one hand, it is
very difficult to link these subjective indicators to specific etiology; on the other hand,
several contributing occupational factors are likely implicated within the injury process.
Among these factors, frequency and duration of the whole body’s postures including
neck during flight, poor helmet fit, poor cockpit ergonomics and vibration [13, 25], use
of night vision goggles (NVG) and counter-weight (CW) systems, and the number of
hours wearing NVG during a mission [22] can be considered. Hence, it is important to
be able to detect neck muscle fatigue in order to obtain more detailed information about
neck stress. Moreover, since the importance of a specific training has been demon-
strated for jet pilots, it is important to quantify its effects in such a way that, if a specific
training proves to be useful to prevent acute neck pain in pilots, it could be suggested to
be inserted among operational duties.
Hence, in this study, we investigated the effect of training in fighter pilots before
and soon after a diurnal flight, therefore we did not take into account NGV and CW
usage.
In particular, we found that the fatigue indexes calculated from the neck and
shoulder muscles are quite sensitive in detecting jet pilots’ fatigue. More in detail,
before the training, it can be observed (see Fig. 4) that the RMS values showed a
significant increase after the flight, mostly for the C60 isometric sub-maximal con-
traction than for the C40 isometric sub-maximal contraction. This result denotes that
the stress for all three analyzed muscles is high to sustain in the C60 isometric sub-
maximal contraction. As far as the MDF is concerned (see Fig. 4), MDF values show a
remarkable decrease, almost always in both the C40 and in the C60 isometric sub-
maximal contractions after the flight. This result could be attributed to a greater sen-
sitivity of the MDF index, which appears suitable to be used in such analysis.
After the training, as regards the RMS, it slightly decreases on the non-dominant
side, while it remains almost the same on the dominant side in the C40 isometric
submaximal contraction (see Fig. 5). In the C60 isometric submaximal contraction, the
RMS, both on the dominant and non-dominant side, does not considerably increase
after the flight (see Fig. 5). These results show that the effort is more sustainable after
training. As far as the MDF is concerned, it can be observed that after the flight, both in
the C40 and C60 isometric submaximal contraction, the MDF does not decrease for the
non-dominant side (except for the middle trapezius at the C40 isometric sub-maximal
contraction), and it does not decrease a lot both in the C40 and C60 isometric sub-
maximal contraction for all the three muscles of the dominant side (see Fig. 5).
438 G. Chini et al.
As showed in the Table 3, which reports data differences between after and before
the flight (delta) MDF seems to be more affected by the training (in particular on the
left side, dominant in the studied subject).
These results show again that training strengthened the muscles of both the dom-
inant and non-dominant side, so they can sustain the contraction with less fatigue. As
far as the FWHM is concerned (see Figs. 3 and 4), both before and after the training it
is not possible to identify a well-defined index trend before and after the flight,
therefore FWHM may not be the most adequate index to give information about muscle
fatigue in such conditions. Anyway, this could be due to the fact that this study is a case
report and only one subject was analyzed, therefore it should be tested on a larger
population.
The performed training was quite effective as showed by the increase of the
maximal forces reported in Table 4.
The results of this study strengthen the suggestion, aimed previously at helicopter
pilots [13, 25], to incorporate neck and shoulder specific training in the list of opera-
tional duties. Our data are in agreement with the work of Wickes and Greeves [26],
who provided an early argument that general fitness and regular physical activity
provided a protective benefit against flight-related neck pain. These myoelectric fatigue
indicators may be useful to evaluate neck and shoulder muscle engagement, and they
may be helpful to define physical exercise limits.
Moreover, since a less favorable body posture due to poor cockpit ergonomics
could be an occupational factor in the onset of neck pain, as previously demonstrated
by Verde et al. [17], the fatigue assessment could be a practical tool to obtain more
detailed information about neck stress and provide an insight for helmet and seat design
improvements.
Limitations of the study are related to the sEMG method, which include the pos-
sible presence of crosstalk, noise and problems related to the electrode location,
electrode–skin impedance, size, configuration and distance [27]. To minimize these
problems, we used the European Recommendations for Surface Electromyography
(SENIAM) [28] and the muscle innervation atlas [20] as references. Moreover, these
preliminary results should be confirmed in a larger sample.
Future examinations would be helpful to expand the analyzed sample, in order to
validate a protective neck training protocol or ergonomic changes to the cockpit and the
helmet.
5 Conclusion
In conclusion, this study confirms the suggestion, aimed previously at helicopter pilots,
to incorporate neck and shoulder specific training in the list of operational duties.
Another conclusion that can be drawn from our results is that it is possible to obtain
more detailed information about neck stress through sEMG fatigue parameters, which
can be useful for helmet and seat design improvements. In fact, the reduction in some
of the causative factors for neck pain may help to increase the career longevity of jet
pilots, reducing the work compensation cost and the costs associated with the training
of new aircrews.
Acknowledgements. Paper edited by Lucia Falco.
Appendix
Tables
Table 1. Task run order before the flight. Abbreviations used: C40 = isometric contraction at
40% of the isometric maximal voluntary contraction; C60 = isometric contraction at 60% of the
isometric maximal voluntary contraction; iMVC = isometric maximal voluntary contraction;
SCM = sternocleidomastoid; MT = middle trapezius; UT = upper trapezius.
Order Task Muscle Side Repetition Rest duration
1 iMVC SCM Both 2 2 min
2 C40 SCM Both 1 2 min after iMVC
3 C60 SCM Both 1 3 min after iC40
4 iMVC UT Dominant 2 2 min
5 C40 UT Dominant 1 2 min after iMVC
6 C60 UT Dominant 1 3 min after iC40
7 iMVC UT Not dominant 2 2 min
8 C40 UT Not dominant 1 2 min after iMVC
9 C60 UT Not dominant 1 3 min after iC40
10 iMVC MT Dominant 2 2 min
11 C40 MT Dominant 1 2 min after iMVC
12 C60 MT Dominant 1 3 min after iC40
13 iMVC MT Not dominant 2 2 min
14 C40 MT Not dominant 1 2 min after iMVC
15 C60 MT Not dominant 1 3 min after iC40
Table 2. Task run order after the flight. Abbreviations used: C40 = isometric contraction at
40% of the isometric maximal voluntary contraction; C60 = isometric contraction at 60% of the
isometric maximal voluntary contraction; SCM = sternocleidomastoid; MT = middle trapezius;
UT = upper trapezius.
Order Task Muscle Side Repetition Rest duration
1 C40 SCM Both 1 Soon after flight
2 C60 SCM Both 1 3 min after 1
3 C40 UT Dominant 1 Soon after 2
4 C40 UT Not dominant 1 Soon after 3
5 C60 UT Dominant 1 Soon after 4
6 C60 UT Not dominant 1 Soon after 5
7 C40 MT Dominant 1 Soon after 6
8 C40 MT Not dominant 1 Soon after 7
9 C60 MT Dominant 1 Soon after 8
10 C60 MT Not dominant 1 Soon after 9
440 G. Chini et al.
Table 3. Difference after and before the flight for each index (delta), both before (pre) and after
the training (post). Abbreviations used: C40 = isometric contraction at 40% of the isometric
maximal voluntary contraction; C60 = isometric contraction at 60% of the isometric maximal
voluntary contraction; SCM = sternocleidomastoid; MT = middle trapezius; UT = upper
trapezius.
Muscle C40 C60
Pre Post Pre Post Pre Post Pre Post
right RMS delta left RMS delta right RMS delta left RMS delta
SCM 0.000 0.009 -0.021 −0.505 0.065 0.155 0.074 0.123
UT 0.010 −0.063 −0.012 −0.006 −0.004 0.009 0.005 0.009
MT 0.009 −0.026 −0.034 −0.002 −0.002 0.024 0.013 −0.005
right MDF delta left MDF delta right MDF delta left MDF delta
SCM −0.005 0.001 −0.006 0.000 −0.002 0.001 0.000 −0.004
UT 0.000 0.003 −0.005 −0.013 0.001 0.005 −0.005 −0.002
MT −0.003 −0.004 −0.002 −0.002 −0.006 0.003 −0.014 −0.001
right FWHM delta left FWHM delta right FWHM delta left FWHM delta
SCM 5.585 −322.779 5.235 6.361 −0.741 −14.742 0.650 −0.181
UT −9.965 −9.726 −18.918 −12.767 −10.866 −20.740 8.647 −0.650
MT 10.412 −5.603 −13.714 −14.489 0.533 −14.419 −11.728 −18.587
Table 4. Mean values of the maximum force value recorded with the dynamometer during the
iMVC, for each investigated muscle before and after the training. Abbreviations used:
iMVC = isometric maximal voluntary contraction; SCM = sternocleidomastoid; MT = middle
trapezius; UT = upper trapezius.
Muscle Maximum force values [kg]
Pre-training Post-training
SCM 19.1 23
Right UT 8.8 10.5
Left UT 9.1 11.1
Right MT 54.6 57.5
Left MT 57.7 60.1
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Comparative Analysis of the Assessment
Methods of the Rehabilitative-Prosthetic Path
of the Patient with Lower Limb Prosthesis
Francesco Draicchio1(&), Antonella Tatarelli1, Simona Castellano2,

Ida Poni2, Lorenzo Fiori1, Alessio Silvetti1, and Patrizio Rossi2
1
DIMEILA-INAIL Research Area, Monte Porzio Catone, Rome, Italy
{f.draicchio,a.tatarelli,lo.fiori,al.silvetti}@inail.it
2
Centro Protesi-INAIL, Via San Nemesio 28, 00145 Rome, Italy
{s.castellano,i.poni,pat.rossi}@inail.it
Abstract. Aim of the study is to compare the most relevant protocols for the
assessment of the rehabilitative path of patient with lower limb prosthesis.
The first one is the “Timed up and go”, a test created to analyse balance
disorders in adults. It was modified to quantify the mobility in adults with
different pathologies. The test analyses the transition from the sitting to the
upright position and vice versa after a walking distance of three meters. This test
is quick and easy to perform, does not require special instruments or training, so
it can be administered by any healthcare professional.
The second one is the “2-minute walk test”. It is proposed when it is difficult
for the patient to support the walk for a longer time. Results from previous
studies show that this test is particularly sensitive to clinical changes resulting
from rehabilitation treatment; it is also practical, simple and quick to administer.
One of the most used protocol in the field of prosthetics is the “K level” test.
The method classifies patients in five levels that indicate the degree of activity
that the amputee can sustain based on an assessment of the patient’s current
situation, including the status of the stump, the desire to walk and other
pathological conditions. With this test it is possible to determine the components
of the prosthetic aid best suited to the patient’s activity levels.
The “Locomotor Capabilities Index” is a questionnaire that allows to define
the gait characteristics of prosthetic amputees and their level of independence.
The “Russek’s Code” protocol is used to measure the functional abilities of
amputees with their own prosthesis. This test provides significant results for
differences between patients of different ages and amputation level. However,
these results require a fairly large sample of patients.
The “Prosthetic Profile of the Amputee” is a questionnaire that consists of 44
questions divided into six sections concerning the patient’s physical condition,
the prosthesis, use of the prosthesis, the environment of use, recreational
activities and other general information. The questionnaire is completed in
approximately 25 min, and clear instructions on how to proceed are provided to
facilitate the patient.
Finally, it is appropriate to mention the fact that a fundamental contribution to
the assessment of the amputee’s mobility is given in the Gait Analysis with
which it is possible to objectify the spatio-temporal parameters of the gait.

https://doi.org/10.1007/978-3-030-20145-6_44
444 F. Draicchio et al.
Keywords: Timed up and go K level SIGAM algorithm Russek code

Locomotor Capabilities Index Gait Analysis Amputee Mobility Predictor
1 Introduction
The first of the tests we put forward in this review is the Timed “up and go” test.
Created as a “Get-up and go” test [1] to analyse balance disorders in adults, it was then
modified [2] to quantify the mobility in adults with different pathologies. The test
analyses the transition from the sitting to the upright position and vice versa after a
walking distance of three meters [3]. Initially, the patient sits on a standard-sized chair,
wearing shoes and aids normally used. The patient gets up from the chair, walks a
three-meter stretch proceeding at their own pace, turns, walks back towards the chair
and sits down again. The test is timed from the moment the patient sets off to when the
subject touches the surface of the chair again (Fig. 1).
Fig. 1. Timed up and go test taken from Nierat et al. [10]
In general, the test is quick and easy to perform, does not require special instru-
ments or training, so it can be administered by any healthcare professional. The time
taken to perform the test can be interpreted as follows [2]:
• a time of less than 10 s indicates normality;
• a time between 10 and 20 s indicates good mobility;
• a time between 20 and 30 s indicates a walking deficit;
• a time of more than 30 s indicates the need for a support.
A study by Schoppen et al. [4] conducted on adult patients with a unilateral
transfemoral or transtibial amputation demonstrated the reliability and validity of the
test as a measure of the mobility of these subjects.
Among the various types of walking tests, those time-based tests offer a simple
measure of functional capabilities and propose various levels of duration: 2, 6 [8] and
12 [9] minutes. Of these, the 2-minute walk test by Brooks et al. is proposed when it is
difficult for the patient to support the walk for a longer time. The test takes place in a
corridor in the presence of a physiotherapist or a rehabilitation assistant. The patient is
asked to walk for as long as possible in two minutes without further encouragement
that would alter the test, as reported in the work by Guyatt et al. [6]. In the study [5]
conducted by Brooks on a large sample of bilateral, transfemoral and transtibial
Comparative Analysis of the Assessment Methods 445
amputees, the ability of the test to document the progress of the patient during reha-
bilitation is demonstrated. Figure 2 shows the results obtained from the test performed
by the sample in three different moments of use of the prosthesis.
Fig. 2. Mean and standard deviation of the distances covered in two minutes by transtibial (□),
transfemoral (▲), bilateral amputees (◊) and from the sample as a whole (•) to the first prosthetic
supply (baseline), within 48 h before discharge from hospital and three months after discharge
(follow up) taken from Brooks et al. [5]
From these results we are convinced that the 2-minute walk test is particularly
sensitive to clinical changes resulting from rehabilitation treatment; it is also practical,
simple and quick to administer.
In the field of prosthetics, clinicians and researchers use different specific methods.
Among these, the United States’ Medicare Functional Classification Level (MFCL) K
level [7] is an assessment system developed in 1995 by the US Health Care Financing
Administration (HCFA) to determine the functional ability of subjects with lower limb
amputation. The method classifies patients in five levels (K0, K1, K2, K3, K4) that
indicate the degree of activity that the amputee can sustain:
• K0: the amputee does not have the ability to move independently and uses the
prosthesis just for aesthetic purposes;
• K1: the amputee can walk in domestic environments on flat surfaces, with short
movements, slowly;
• K2: in external environments, the amputee is able to accelerate their pace and
traverse slightly uneven surfaces;
• K3: the amputee deals with daily routes of various kinds with alternating pace to
overcome various obstacles on the ground;
• K4: the amputee goes beyond the classic activities of daily life, combining sports
and recreational activities.
The classification is based on an assessment of the patient’s current situation,
including the status of the stump, his/her desire to walk [11] and other pathological
conditions. This instrument allows the doctor to establish the functional abilities of the
amputee without a prosthesis, to predict the walking characteristics with a prosthesis
and to determine the components of the prosthetic aid best suited to the patient’s
activity levels [12]. The system is dynamic, so the K level can change over time.
The K-level can be determined using the Amputee Mobility Predictor (AMP) which
is a questionnaire developed in 2002 to allow doctors, prosthetists and physiotherapists
to have a clinically reliable instrument for objectively measuring the functional abilities
of the patient with and without a prosthesis [13]. Movements, balance, the use of assist
devices and other aspects of the walk are assessed [11]. The questionnaire consists of
21 items, organized according to an increasing level of difficulty, to each of which it is
possible to give a variable score from 0 to 2 with the following meanings:
• 0: inability to perform the task;
• 1: minimum level of achievement or need for a support to complete the activity;
• 2: complete independence or proficiency in the task.
The first two items test the patient’s ability to maintain balance from the sitting
position to the upright position and vice versa without falling. The items from 3 to 7
examine the ability of the amputee to carry out a simple activity such as moving from
one chair to another while remaining balanced. The following items up to 13 refer to
more demanding activities concerning balance in a standing position. The patient
performs several tests such as balancing on one leg, a balance keeping test following
several nudges to the chest (Nudge test). Finally, the items from 14 to 20 assess the
quality of the gait and the ability to overcome specific obstacles, while item 21 takes
into account the use of assist devices. The total score ranges from 0 to 42. The
questionnaire can be used both with (AMPPRO) and without prosthesis (AMPnoPRO)
and in this last case the maximum achievable score is 38 because item no. 8, relative to
the standing position on a single leg, is not included. In case of use of an assist device
the total score becomes 43 for the AMPnoPRO and 47 for the AMPPRO. The main
advantages offered by this instrument are the possibility of use with or without pros-
thesis and a relatively short execution time (15 min). The Amputee Activity Survey
(AAS) [20, 21] is used to validate the AMP, a questionnaire consisting of 20 items that
allows patients to describe their level of daily activity. In fact, the questions in the
questionnaire investigate the ability to wear and remove the prosthesis, the time of use,
the ability to climb stairs, the characteristics of the patient’s activity, the supports used,
and the domestic habits related to mobility. Some questions simply require a direct
answer, while others are multiple-choice. The interview, which lasts about 15 min,
should be conducted by an operator who is aware of the rehabilitation path of the
amputee and who has been trained to detect any inconsistencies. At no time can the
interviewer change the patient’s final response without the latter’s consent. The scores
assigned to each question are added together to determine the total score related to the
patient’s activity, which can vary between −70 and +50. Patients are associated with
one of five categories based on the total score, as shown by the results obtained from a
study conducted by Day et al. [21] (Table 1).
Table 1. Results obtained from the study conducted by Day et al. [21]
The Locomotor Capabilities Index (LCI) [14] was developed in Canada in 1993 as
part of the Prosthetic Profile of the Amputee questionnaire to define the gait charac-
teristics of prosthetic amputees and their level of independence [15]. It consists of 14
items, seven of which cover the basic aspects of walking while the other seven deal
with more advanced features, as shown in Table 2.
Table 2. The Locomotor Capabilities Index taken from the work by Gauthier-Gagnon et al. [15]
Furthermore, the index is used by clinicians during the rehabilitation programme to

observe current performance and, if applied at the beginning of the training, allows
them and the patient to set goals and subsequently to check the progress of rehabili-
tation treatment. Each item is attributed a score ranging from 0 (the patient’s inability to
perform the activity) to 3 (the patient is able to perform the task independently) and the
maximum total score is 42. The Locomotor Capabilities Index is easy to administer and
can be completed in approximately 5 min. Franchignoni et al. [16] proposed a modified
version of the index, LCI-5, which also takes into account the use of assist devices. In
this case the score that can be associated with each item varies from 0 to 4 (Fig. 3).
Table 3. Average results deriving from the Russek classification for transtibial (TT) and
transfemoral (TF) amputees compared by age and amputation level, taken from Treweek et al.
[18].
Russek’s Code [17] is another method that is used to measure the functional
abilities of amputees with their own prosthesis. It is a measure consisting of six levels:
• Level 1: the prosthesis has no advantage for the patient;
• Level 2: the patient can walk short distances with lack of confidence;
• Level 3: the patient needs help and feels tired;
• Level 4: the patient has recovered some independence and carries out regular
activities;
• Level 5: the patient encounters limitations just for some specific activities;
• Level 6: the patient shows a total recovery.
A study by Treweek et al. [18] on transtibial and transfemoral amputees, showed
that the Russek classification provides significant results for differences between
patients of different ages and amputation level. However, these results require a fairly
large sample of patients (Table 3).
Fig. 3. Locomotor Capabilities Index on five levels (LCI-5) proposed by Franchignoni et al. [16]
In order to have a valid and simple method to measure the mobility levels of
amputees, the Special Interest Group in Amputee Medicine (SIGAM) [19] developed
an instrument that provides a walk test on a 50-m stretch to check mobility
improvements and a questionnaire based on a particular algorithm. The questionnaire
consists of 21 closed questions that assess gait from different points of view: distance
covered, ability to walk on different surfaces and in different conditions, need for an aid
or help from another person. In order to avoid inadequate responses and to assign the
right mobility grade, the algorithm of Fig. 4 has been developed.
Fig. 4. SIGAM algorithm taken from the work by Ryall et al. [19]
An operator assigns the mobility grade to each of the completed questionnaires; the
latter, then, are divided according to the grade that has been assigned to them and then
one computer randomly selects four from each group. These are then sent to other
operators who do not have patient information and assign a sub-grade. An example of
this process is shown in Fig. 5.
Fig. 5. Process used to control the mobility grade assigned taken from the work by Ryall et al. [19]
Grades A to F are established based on the answers, and in particular:

• A: the prosthesis is not worn or is just for aesthetic reasons;
• B: the prosthesis is only worn for conveyance, to walk with the help of a second
person or during therapy;
• C: the patient only walks on level surfaces, for a distance less than or equal to 50 m,
with or without a mobility aid;
• D: the patient only walks outdoors on level surfaces and in good weather condi-
tions, for more than 50 m, with or without a mobility aid;
• E: the patient walks for more than 50 m without any mobility aid except in the case
of uneven terrain;
• F: gait is normal.
This method is considered valid and reliable to determine and monitor the mobility
of amputees, being also sensitive to changes.
A study by Gailey et al. [22] on 118 patients with lower limb amputation resulted in
the development of the Comprehensive High-Level Activity Mobility Predictor
(CHAMP), an instrument whose primary objective is to determine the progressive
return to high levels of mobility during and after the rehabilitation process. The test
also aims to assess how fast the amputee is able to cover a certain distance, change the
direction and position of the body and other useful activities to test the movement in all
three planes. The test consists of four tasks that must be performed in the following
order: (1) Single Limb Stance (SLS); (2) Edgren Side Step Test; (3) T-Test; (4) Illinois
Agility Test (IAT).
SLS is used to assess postural balance and stability and to predict the ability to walk
with a prosthesis. The ability of the amputee to stay balanced on the healthy limb, for a
maximum time of 30 s, is used to determine whether the subject is able to perform the
following tasks (Figs. 6 and 7).
Fig. 6. Single Limb Stance, taken from Fig. 7. Edgren side step test (ESST) taken from
the work by Gaunaurd [23] the work by Gaunaurd [23]
The Edgren side step test is used to assess frontal agility and body control. The time
is recorded in which 4 stretches of one meter in one direction and in the opposite
direction are covered laterally.
The T-test, on the other hand, determines the agility on the mid-sagittal and frontal
planes and body control, also assessing the ability to quickly change direction while
maintaining balance, speed and power in the forward, lateral and rearward directions,
according to the diagram shown in Fig. 8.
Fig. 8. T-test taken from the work by Fig. 9. Illinois Agility Test (IAT) taken from
Gaunaurd [23] the work by Gaunaurd [23]
Finally, the IAT is a measure of agility on the frontal, mid-sagittal and transverse
planes, and highlights the ability to accelerate and decelerate when performing different
manoeuvres. Figure 9 illustrates the different paths and the rotation of the subject
undergoing the test.
The four items use a different scoring system: SLS records the time when the
subject manages to remain balanced for up to 30 s. IAT and T-Test are timed, and the
score is shown in seconds; the shorter time indicates the best performance. ESST
indicates the number of 1-m long stretches covered within the fixed time of 10 s, and
the greater distance indicates the best performance. To merge all the CHAMP items,
the scores are converted to the same scale of values from 0 to 10, and the scores from
each test are then added together to obtain the total between 0 and 40. High scores
indicate the best performance out of the whole test.
To assess and determine the factors potentially related to the use or not of the
prosthesis by amputees the Prosthetic Profile of the Amputee (PPA) [24] was devel-
oped by Grisè et al. It is a questionnaire that consists of 44 questions divided into six
sections concerning the patient’s physical condition, the prosthesis, use of the pros-
thesis, the environment of use, recreational activities and other general information as
shown in Table 4.
Table 4. contents of the Prosthetic Profile of the Amputee taken from the work by Grisè et al. [24]
The questionnaire is completed in approximately 25 min, and clear instructions on

how to proceed are provided to facilitate the patient. The questions are written in
simple terms and 93% of them are closed or semi-closed; although they are more
difficult to formulate, they are easier to analyse, are less demanding for the patient and
less variable than open-ended questions. The “yes” or “no” answers or the multiple-
choice answers are used to obtain information regarding the non-amputated limb or the
stump and mobility aids required for the walk. To better assess the quality of an
answer, on the other hand, an ordinal scale is used. For example, a five-level ordinal
scale is used to measure the degree of satisfaction of the amputee with their prosthesis,
and in this case the response levels vary from “not at all satisfied” to “completely
satisfied”. The ordinal scales are also used to measure walking abilities with the
prosthesis. Whereas, to assess the relationship between the movements performed with
the prosthesis, both inside and outside the home, and other types of movement, a
percentage ratio is used as a measurement.
Gait performance according to Steinberg [32] is a classification that aims to assess
the functional level of the prosthetic patients’ gait and divides them into three groups:
1. Functional users: wear the prosthesis all day long and walk with or without mobility
aids;
2. Partial users: only use the prosthesis for a few hours a day and depend on a
wheelchair to make trips;
3. Non-users: do not use their prosthesis or they do so occasionally and mainly for
aesthetic reasons.
A study by Steinberg et al. [32] examined a sample of 116 lower limb amputees
over 65 of which 59 transtibial (TT), 22 transfemoral (TF) and 15 bilateral amputees,
all with a prosthesis and followed during training. Out of the 59 TT, 73% used the
prosthesis full-time and only 25% partially. The results for the TF and for the bilateral
amputees are different, out of them 50% and 33% respectively used the prosthesis for
the whole day.
The Mobility Section of the PEQ (PEQ-MS) [25] is part of the Prosthesis Evalu-
ation Questionnaire (PEQ), a questionnaire that is used to assess amputees by refer-
encing the prosthesis and their lifestyle with the prosthesis. The PEQ-MS investigates
walking with 8 items and conveyance with 5 items, paying particular attention to the
levels of mobility acquired through the prosthesis in the last four weeks. Each question
can be assigned a variable score from 0 to 10 (0: subject is unable or hardly able -
ability level less than 5%; 10: subject is able or almost completely able (ability level
above 95%).
As suggested by the authors of the questionnaire and by Miller et al. [26] the total
score of the questionnaire is calculated as the arithmetic mean of all the scores assigned
to the questions. A study by Franchignoni et al. [25] out of 144 amputees led to a
modified version of the questionnaire in which the scores from 0 to 10 of the original
model were combined to obtain 5 categories:
• 0: the null score is the first category indicating that the patient is unable or hardly
able (ability level below 5%) to carry out the activities foreseen by the items in the
questionnaire;
• 1: the scores from 1 to 3 constitute the second category that reflects a large difficulty
by the patient (ability level between 5 and 34%);
• 2: the third category is made up of scores from 4 to 6 and indicates a moderate
difficulty (ability level between 35 and 64%);
• 3: the scores from 7 to 9 constitute the fourth category that is representative of a
small difficulty (ability level between 65 and 95%);
• 4: the maximum score of 10 constitutes the fifth category and indicates the absence,
or almost, of difficulty by the patient (ability level greater than 95%). The new
version of the questionnaire is the PEQ/MS12-5, shown in Fig. 10.
Fig. 10. Prosthesis Evaluation Questionnaire – Mobility Section, PEQ-MS12/5 taken from the
work by Franchignoni et al. [25]
The L-Test of Functional Mobility is the result of a study conducted by Deathe

et al. [27] in 2005 and is a modified version of the Timed “Up & Go” Test (TUG). It is
a simple test used to determine the patient’s ability to walk with prosthetic devices.
Initially, the subject sits on a chair in a room dedicated to the test and placed in front of
the entrance to the corridor. The test begins with the patient covering three meters at
their own pace up to the entrance of the corridor, turning 90° and covering another
seven meters. At this point they turn 180° and return to the room where they resume
their sitting position. As in the TUG, in this case the time is clocked from the moment
the patient gets up from the chair to the instant they sit down again. This path, which
has a total length of 20 m, is L-shaped (Fig. 11) and requires two turns and three
conveyances.
Fig. 11. Diagram taken from the work by Kim et al. [30] showing the L-test path
To further determine the validity of the test, some clinical information is acquired
such as: the level of amputation, the cause of amputation, the use of mobility aids and
age. A study by Deathe et al. [27] on 102 transfemoral and transtibial amputee patients
demonstrated the reliability of the test. The study also shows that the L-Test provides
useful clinical information for both patients and outpatients.
The Hougthon Scale [28] is an instrument that refers exclusively to the use of
prosthetic devices by subjects with lower limb amputation, and consists of four
questions: the first three, which can be assigned a score from 0 to 3, investigate the
habits of the prosthetic patient; the fourth instead consists of three items, which can be
answered yes or no, and which determine the level of comfort of the patient when
walking on different outside surfaces. The final result is shown as a score out of a total
of 12. A high score corresponds to a better performance and greater comfort. Figure 12
shows the questionnaire with the answers and their meanings.
Fig. 12. Houghton Score Questions taken from the work by Houghton et al. [29]
From a study by Devlin et al. [28]. On two amputee samples, both unilateral and
bilateral, transfemoral and transtibial, the Houghton Scale successfully discriminates
the transfemoral from the transtibial while not returning differences between unilateral
and bilateral amputees or age-based differences. The test is quick and easy to use and
interpret, and Condie et al. [30] have shown that it has good validity and reliability. The
test is sensitive enough to changes and is recommended for clinical use as it provides
useful information on any changes in prosthetic components.
The need to have an instrument to determine the capabilities of long-term amputee
subjects after discharge has led the Scottish Physiotherapy Amputee Research Group
(SPARG) to review the Prosthetic Profile of the Amputee (PPA), considered too long to
complete for older Scottish amputees. The result was the development of a method
consisting of 14 questions known as Functional Measure for Amputees (FMA) [31],
shown in Fig. 13.
Fig. 13. Functional Measure for Amputees (FMA) questionnaire taken from the work by
Callaghan et al. [31]
Of these fourteen questions, twelve were selected from the PPA and two others
were added to determine the influence of the prosthesis on the patient’s interests and
hobbies and other aspects. Although the questionnaire cannot be used as a general
indicator to define the functional level of the amputee, it consists of questions that are
useful for determining the level of mobility, independence and degree of use of the
prosthesis and for identifying the factors influencing these results.
Finally, it is appropriate to mention the fact that a fundamental contribution to the
assessment of the amputee’s mobility is given in the Gait Analysis with which it is
possible to determine exactly the spatio-temporal parameters of the gait. In general, one
of the most important aspects of amputees’ gait, as shown in the work of Highsmith
et al. [33], is asymmetry. The prosthetic limb has a greater stride length, a shorter
stance phase and therefore a longer swing than the healthy limb, as the works by
Robinson et al. [34], Sanders et al. [35]; Smidt et al. [36], Bateni et al. [37] show.
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Social and Occupational Ergonomics:
Applications
Analysis of the Short-Term Absences
of Poultry Slaughterhouse Workers in Brazil
Natália Fonseca Dias1(&), Adriana Seára Tirloni1,

Diogo Cunha dos Reis1,2, and Antônio Renato Pereira Moro1,2
1
Tecnological Center, Federal University of Santa Catarina, Florianópolis,
Santa Catarina, Brazil
ergonomia.nd@gmail.com, adri@tirloni.com.br,
diogo.biomecanica@gmail.com, renatomoro60@gmail.com
2
Biomechanics Laboratory, CDS, Federal University of Santa Catarina,
Florianópolis, Santa Catarina, Brazil
Abstract. The objective of this study was to analyze short-term absences and to
associate it with socio-demographic and occupational variables of workers at a
poultry slaughterhouse. The factors associated with short-term sick leave (4,344
absences) from July 2014 to June 2015 were analyzed. Descriptive statistics, the
Chi-square test and Pearson’s correlation were used (p 0.05). Most workers
obtained 1 to 3 medical certificates per year and were absent from the company
between 1 and 2 days. The most common frequency of absences among males
was once per year, while among females, it was five or more (p < 0.001). The
number of days absent per medical certificate had a positive correlation with the
length of time working at the company (r = 0.082; p < 0.001). It was concluded
that the majority of the workers obtained more than one medical certificate per
year and the longer time working at the company, the more days absent.
Keywords: Ergonomics Slaughterhouse Medical certificate

Occupational health Occupational diseases
1 Introduction
The term absenteeism refers to the time that the worker is absent from the work process
[1]. High rates of absenteeism have a worrying effect on the labor market. A high
productive cost is generated in the industries, caused by the decrease of productivity
and quality of service, disorganization of activities, decrease of work efficiency, besides
overload and dissatisfaction of the assiduous workers [2].
Absenteeism is a multi-causal phenomenon [3], classified in models with an eco-
nomic, psychosocial, medical and organizational approach [4]. Although absenteeism
is justified by a medical certificate, absences are not exclusively for medical reasons
[4]. In this model, several factors contribute to a pattern of absenteeism: demographic
(age, gender and profession), job satisfaction (levels of remuneration, characteristics of
achievement feelings), organizational (organizations and jobs), content of work (levels
of autonomy and responsibility) and others (such as commitment and distance from
work) [3, 4].

https://doi.org/10.1007/978-3-030-20145-6_45
462 N. F. Dias et al.
Oenning et al. [5] report that medical absenteeism is the most discussed in Brazil,
perhaps due to the greater control by the necessity of documentary evidence. Studies on
absenteeism were performed in hospitals [6–8], and in manufacturing industries [9],
however, no studies were found in slaughterhouses.
Primo et al. [7] studied the absenteeism of a public hospital organization and found
that the contributing factors to the high absenteeism rate were socio-demographic risks
and work organization. They also emphasized that the identification and monitoring of
these risks make it possible to intervene and improve working conditions.
The high incidence of occupational diseases is explained by the transformations of
the industries, aiming at goals and productivity, without considering the physical and
psychosocial limits of the workers [10]. In Brazil, in 2017, a total of 196,731 workers
were absent from their activities due to occupational diseases. The average number of
absent days for workers was 114.7, totaling 22,568,157 missed work days in 2017 [11].
The industry of slaughtering and processing meat and derivatives is in the 11th
place among the different economic activities that most develop occupational diseases
in Brazil [11]. Being responsible for 17,942 work absences between 2012 and 2017,
which reflects a total of 4,337,797 missed work days, representing 1.62% of national
economic activities [11]. However, in the State of Santa Catarina, this activity ranks
third among the largest reported occupational accidents (CAT), responsible for 8,181
cases (5.2%) between 2012 and 2017 [11].
Slaughterhouses are characterized by inadequacies related to health and safety at
work, with activities of intense, repetitive [12] and monotonous rhythm, force appli-
cation when handling loads [13], associated with unhealthy conditions [14] low tem-
peratures, handling of cold products [15] and use of hand tools [16].
The implementation of Regulatory Norm 36 (NR-36), in 2013, aimed to establish
the minimum requirements for the evaluation, control and monitoring of risks in
activities carried out in Brazilian meat processing industries [16]. According to the
Statistical Yearbook of Occupational Accidents [17], in 2013, 246 occupational dis-
eases were recorded due to occupational diseases in the economic activity of slaugh-
tering pigs, birds and other small animals (CNAE 1012) in Santa Catarina. In the year
2015, there was a 35% reduction of this number, with 160 cases. The decrease in the
number of workers who were absent due to occupational diseases may be related to the
better working conditions provided by NR-36, such as the institution of psychophys-
iological breaks, job rotations, equipment adjustments and work pace.
Therefore, the present study aimed to analyze the short-term absences and to
associate it with socio-demographic and occupational variables of workers at a poultry
slaughterhouse.
2 Method
2.1 Study Design and Data Collection
This is an observational cross-sectional survey conducted at a poultry slaughterhouse
over the course of one year (July 2014 to June 2015). The study was achieved at a
poultry slaughterhouse in Santa Catarina, where 80,000 chickens were slaughtered
Analysis of the Short-Term Absences 463
daily, with approximately 1,200 workers distributed in two production shifts and one
sanitation shift. The workday was 08 h and 48 min, with 60 min of psychophysio-
logical breaks dispensed in 3 intervals of 20 min as well as 20 min for uniform change
(10 min upon entering and 10 min upon exiting), totaling 448 min of effective repet-
itive work. In addition, there was a central 60-min break for a meal.
The research was accomplished by a database of the slaughterhouse medical ser-
vice, considering the absences with registration of a medical certificate of up to 15
days. This study followed ethical principles and was conducted in accordance with the
Declaration of Helsinki. Data from workers who did not present a medical certificate in
the analyzed period were not made available, which became a study limitation.
2.2 Population
All workers at a poultry slaughterhouse who performed their activities on the pro-
duction line and presented a medical certificate up to 15 days in the analyzed period
were part of this study (n = 967).
2.3 Variables Analyzed

The variables evaluated were: gender, work shift, working environment, use of hand
tools, job rotation, number of medical certificates submitted per worker, number of
absent days with a medical certificate, time at company until the date of data collection
and the issuance of each medical certificate, as well as the reason for absence (Inter-
national Classification of Diseases - ICD 10). In the present study, the terms absent
days and missed days were considered synonymous.
In relation to the work shifts, these were divided into two categories, according to
the work days. Approximately 1/3 of the workers in the first shift started their activities
at 4:00 a.m. and finished at 1:40 p.m., while 2/3 started at 6:00 a.m. and ended at 3:48
p.m. In the second shift, the workers divided in the same proportion, where the first
work shift started at 2:00 p.m. and ended at 10:40 p.m., while the second work shift
began at 4:00 p.m. and ended at 12:00 a.m.
The thermal characteristics of the sector were classified according to ambient
temperatures, 8 °C to 12 °C - artificially cold environments and locations with tem-
peratures above 12 °C - room temperature. The hand tools used by the workers were a
knife and scissors. It was considered that the worker performed a rotation when two or
more task were performed daily.
The number of absences per worker and the number of absent days per medical
certificate were determined between July 2014 and June 2015. This data was used to
calculate the total number of absent days per worker and hours missed in a year.
Throughout the analyzed period, there were 255 work days, with the duration of each
one being 8 h 48 min.
The time that each employee at the company was calculated in months, in two
situations: from the admission period up to the date of data collection (06/30/2015)
until the date of each medical certificate. The reason for the worker’s absence was
categorized according to the International Classification of Diseases - ICD 10.
2.4 Statistical Analysis

The data was tabulated and organized on a spreadsheet and statistical analyses were
performed using SPSS Statistics, version 17.0 (SPSS Inc., Chicago, IL, USA).
The Kolmogorov-Smirnov test was used to confirm the normality of the data
referring to absent days. The Mann-Whitney test was used to compare the number of
absent days between the genders, the shifts and the ICD 10 (XIII - Musculoskeletal and
XXI - Factors that influence health status and contact with health services).
The Chi-square test was applied to associate the frequency of medical certificates
per worker with the year and the socio-demographic and occupational variables of
workers (gender, work shift, work environment temperature, tool use, rotations and
total number of absent days with certificates - Table 1).
Pearson’s correlation was used to verify the relation between the time at the
company (number of months until data collection - 06/30/2015) and the frequency of
certificates issued per year, the association between workers’ time at the company (the
period up to the date of each issued certificate was considered) and the number of
absent days prescribed by the certificate, as well as between the number of certificates
per year and the total number of absent days per worker. For all tests, p 0.05 was
used.
3 Results
The results of this study showed that most workers (68.4%) obtained more than one
certificate per year (n = 661), representing 4,038 of the 4,484 certificates issued during
the analyzed period (92.9%). It is noteworthy that most workers obtained 1 to 3 medical
certificates per year (59.0%) (Table 1), on average 4.5 ± 5.1 medical certificates per
year, and the maximum number of certificates obtained by one worker was 40.
While the highest frequency of certificates was once a year for men, and five or
more certificates per year for women, with a significant difference between the groups
analyzed (p < 0.001) (Table 1).
A correlation was found between the number of certificates per year and the total
number of absent days per worker, indicating that the higher the number of medical
certificates, the greater the number of absent days (r = 0.864, p < 0.001). The average
time the workers were employed at the company was 33.3 ± 50.4 months. When
analyzing the time at the company in relation to gender, no significant difference
(p = 0.553) was observed, since the women presented a median of 16 months (range of
1 to 331 months) and 14 months for the men (range of 1 to 381 months).
Table 1 shows that the proportion of workers who presented a certificate for the
year with a total absence length of 1 to 2 days (86.2%), and the group of workers who
presented more than 5 certificates per year totaling more than 15 absent days per year
(80.3%) were higher than the other analyzed groups (p < 0.001).
There was no link between the frequency of medical certificates per year and the
work shift, the work environment, the use of tools and job rotations (Table 1).
Table 1. Association between the frequency of medical certificates per worker and socio-
demographic and occupational variables of workers at a poultry slaughterhouse (2014–2015).
Variable Certificate frequency per worker per year n (%)
1 2 3 4 5 Totalc P
Gender <0.001a
Female 158 (25.6) 97 (15.7) 66 (10.7) 59 (9.6) 237 (38.4) 617 (63.8)
Male 148 (42.3) 70 (20.0) 32 (9.1) 30 (8.6) 70 (20.0) 350 (36.2)
Shift 0.082
First 174 (30.6) 107 (18.8) 48 (8.4) 49 (8.6) 191 (33.6) 569 (58.8)
Second 132 (33.2) 60 (15.0) 50 (12.6) 40 (10.1) 116 (29.1) 398 (41.2)
Work environment temperature 0.054
Artificially 202 (29.4) 122 (17.8) 68 (9.9) 60 (8.7) 235 (34.2) 687 (71.0)
cold
Natural 104 (37.1) 45 (16.1) 30 (10.7) 29 (10.4) 72 (25.7) 280 (29.0)
temperature
Tool use 0.580
No 99 (31.6) 62 (19.8) 31 (9.9) 30 (9.6) 91 (29.1) 313 (32.4)
Yes 207 (31.7) 105 (16.1) 67 (10.2) 59 (9.0) 216 (33.0) 654 (67.6)
Job rotation 0.069
No 55 (25.8) 33 (15.5) 20 (9.4) 26 (12.2) 79 (37.1) 213 (22.0)
Yes 252 (33.3) 134 (17.8) 78 (10.3) 63 (8.4) 228 (30.2) 754 (78.0)
Total number of absent days per worker <0.001a
1–2 days 231 (86.2) 37 (13.8) 0 (0.0) 0 (0.0) 0 (0.0) 268 (27.7)
3–7 days 57 (20.5) 94 (33.8) 65 (23.4) 43 (15.5) 19 (6.8) 278 (28.8)
8–15 days 18 (9.8) 19 (10.4) 22 (12.0) 27 (14.8) 97 (53.0) 183 (18.9)
>15 days 0 (0.0) 17 (7.1) 11 (4.6) 19 (8.0) 191 (80.3) 238 (24.6)
Totalb 306 (31.6) 167 (17.3) 98 (10.1) 89 (9.2) 307 (31.8) 967 (100.0)
Chi-square test; ap 0.05; bpercentage relative to the line; cpercentage relative to the column;
the worker’s time at the company until data collection (06/30/2015).
In relation to the total number of workers with certificates, it was found that the
proportion of women with certificates that worked in the first shift was significantly
higher than in the second shift (p < 0.001) (Table 2).
Table 2. Association between the shift and the gender of workers who presented medical
certificates.
Gender Shift n (%) Total P
1st shift 2nd shift
Female 387 (40.0) 230 (23.8) 617 (63.8) <0.001
Male 182 (18.8) 168 (17.4) 350 (36.2)
Total 569 (58.8) 398 (41.2) 967 (100.0)
% in relation to the total number of workers (967);
p 0.05.
When analyzing the total number of certified absent days of each worker per year, it
was verified that there was 11.3 ± 13.9 absent work days per worker, ranging from 1
to 89 days. Although the proportion of the shortest certified absences (73.1%) was
higher than the longest ones (5.8%), the sum of absences in each of the three ranges
was similar (Table 3).
Table 3. Relationship between the number of absences with a medical certificate and total of
days absent with the variables: gender, work shift, time at company and number of days absent in
a poultry slaughterhouse.
Variable Absences with medical certificate Total absent days
Gender
Female 3,205 (73.8) 8,113 (74.3)
Male 1,139 (26.2) 2,804 (25.7)
Shift
First 2,632 (60.6) 7,015 (64.3)
Second 1,712 (39.4) 3,902 (35.7)
Time at companya
0 to 12 months 2,552 (58.8) 6,031 (55.2)
>12 to 36 months 1,039 (23.9) 2,771 (25.4)
>36 months 753 (17.3) 2,115 (19.4)
Range of absent days n (%) n (%)
1 to 2 days 3,177 (73.1) 4,064 (37.2)
3 to 7 days 915 (21.1) 3,857 (35.3)
8 to 15 days 252 (5.8) 2,996 (27.5)
Total 4,344 (100.0) 10,917 (100.0)
a
Time at company up to the date of issuance of each medical certificate.
There was no difference between the median absent days between men and women
(p = 0.800), however, there was a difference between the morning and afternoon shifts,
as the morning shift was higher (p = 0.009).
There was a negative but non-significant correlation between the worker’s time at
the company and the number of certificates issued per year (r = −0.059, p = 0.065).
This shows a tendency that the shorter the worker’s time at the company, the greater
the number of certificates issued per year (the reference period until the moment of data
collection - 06/30/15). On the other hand, a positive and significant correlation was
verified in relation to time at the company (the period up to the issue date of each
certificate was considered) and the number of absent days of each worker’s certificate
(r = 0.082, p < 0.001). This result shows that the longer the time at the company, the
greater the number of absent days prescribed in each certificate.
The data reveals that in one year, the slaughterhouse had a loss of 10,917 pro-
ductive days, considering a year with 255 work days, this loss corresponds to
approximately 43 workers (96 thousand hours/year) not carrying out their tasks
throughout a year.
Table 4. Description of diagnoses referring to medical certificates broken down by gender.

Large groups of ICD Gender
10 Total Female Male
Medical Days Medical Days Medical Days
certificates certificates certificates
I Infectious and 122 (2.8) 235 (2.2) 79 (2.5) 157 (2.0) 43 (3.8) 78 (2.8)
parasitic diseases
II Neoplasms 5 (0.1) 27 (0.2) 4 (0.1) 19 (0.2) 1 (0.1) 8 (0.3)
III Blood diseases 0 (0.0) 0 (0.0) 0 (0.0) 0 (0.0) 0 (0.0) 0 (0.0)
IV Endocrine diseases 8 (0.2) 15 (0.1) 8 (0.2) 15 (0.2) 0 (0.0) 0 (0.0)
V Mental and 35 (0.8) 165 (1.5) 28 (0.9) 123 (1.5) 7 (0.6) 42 (1.5)
behavioral disorders
VI Nervous system 55 (1.3) 147 (1.3) 33 (1.0) 86 (1.1) 22 (1.9) 61 (2.2)
diseases
VII Eye and appendage 61 (1.4) 218 (2.0) 44 (1.4) 165 (2.0) 17 (1.5) 53 (1.9)
diseases
VIII Ear diseases 24 (0.5) 41 (0.4) 20 (0.6) 34 (0.4) 4 (0.4) 7 (0.2)
IX Circulatory system 46 (1.0) 117 (1.1) 35 (1.1) 102 (1.3) 11 (1.0) 15 (0.5)
diseases
X Respiratory tract 256 (5.9) 537 (4.9) 180 (5.6) 378 (4.7) 76 (6.7) 159 (5.7)
diseases
XI Digestive system 107 (2.5) 255 (2.3) 83 (2.6) 214 (2.6) 24 (2.1) 41 (1.5)
diseases
XII Skin diseases 37 (0.9) 117 (1.1) 22 (0.7) 67 (0.8) 15 (1.3) 50 (1.8)
XIII Osteomuscular 1168 (26.9) 4352 (39.9) 865 (27.0) 3319 (40.9) 303 (26.6) 1033 (36.8)
diseases
XIV Genitourinary 102 (2.3) 246 (2.3) 89 (2.8) 204 (2.5) 13 (1.1) 42 (1.5)
system diseases
XV Pregnancy, childbirth 8 (0.2) 81 (0.7) 8 (0.2) 81 (1.0) 0 (0.0) 0 (0.0)
and the puerperium
XVI Some conditions of 0 (0.0) 0 (0.0) 0 (0.0) 0 (0.0) 0 (0.0) 0 (0.0)
the perinatal period
XVII Congenital 1 (0.0) 13 (0.1) 0 (0.0) 0 (0.0) 1 (0.1) 13 (0.5)
malformations
XVIII Symptoms, signs and 187 (4.3) 372 (3.4) 156 (4.9) 307 (3.8) 31 (2.7) 65 (2.3)
abnormal clinical
and laboratory
findings
XIX Injuries, poisonings 146 (3.4) 567 (5.2) 81 (2.5) 327 (4.0) 65 (5.7) 240 (8.6)
and external causes
XX External causes of 20 (0.5) 50 (0.5) 15 (0.5) 40 (0.5) 5 (0.4) 10 (0.4)
morbidity and
mortality
XXI Factors influencing 1956 (45.0) 3362 (30.8) 1455 (45.4) 2475 (30.5) 501 (44.0) 887 (31.5)
health status and
contact with health
services
Total 4344 10917 3205 8113 1139 2804
ICD - International Classification of Diseases; n (%); percentage of the total of each variable.
The diagnoses (Table 4) that produced the most distances were group XXI (Factors
influencing health status and contact with health services), with 45.0% of total cer-
tificates and group XIII (Musculoskeletal diseases), with 26.9% of the total certificates.
However, group XIII was responsible for the largest number of absent days, totaling
39.9%, followed by group XXI with 30.8%. Despite this, there was no significant
difference between the absent days of the two groups (p = 0.719).
Among the 1,956 absences for group XXI, 1,418 occurred due to reason Z00.0,
described as general medical examination. The other 361 absences were due to Z71.2,
referring to the consultation for explanation of exam results. The two main causes
account for 91.0% of the absences from this group.
The distribution of gender-related deviations was similar in group XIII, showing
that both women and men were affected by similar musculoskeletal diseases (27.0%
and 26.6%, respectively).
When analyzing the body regions described in the certificates with CID M (mus-
culoskeletal diseases n = 1,168), it was confirmed that more than half of the certificates
did not present CIDs with the body region causing the absence (51.1%). Nevertheless,
it was verified that the vertebral column is the most diagnosed region (27.7%), followed
by the shoulder (16.5%).
4 Discussion
Similar results to the present study are confirmed in nursing professionals [6], hospital
workers [7, 8] and manufacturing industries [9]. Reis et al. [6], when analyzing 965
workers without certificates (42.4%) and with certificates (57.6%) from the nursing
department of a university hospital, found that the average number of absences was
1.4 ± 1.8 certificates per worker/year. Different from the present study, the average
was 4.5 ± 5.1 certificates per worker/year when analyzing only the workers who
presented certificates.
Most of the workers in the present study obtained more than one sick leave per year
(68.4%), and 59.0% had 1 to 3 medical certificates per year. Reis et al. [6] discovered
that 62.4% of the absent nurses (556) obtained more than one sick leave per year,
however, unlike the present study, 78.6% of the nurses presented 1 to 3 medical
certificates per year. This study reveals that 31.8% of slaughterhouse workers had five
or more certificates per year, contradicting the findings of Reis et al. [6] in which only
11% of nurses had five or more certificates per year.
Primo et al. [7], investigating 2,790 workers in a public university hospital,
revealed that 1,471 workers (52.1%) had one or more certificates during the year. The
frequency was different between the genders (56.9% for women and 37.4% for men)
[OR = 2.29, 95% CI (2.93–1.72); p < 0.0001].
Brey et al. [8] showed that 75.1% of the workers in a Brazilian public hospital
presented certificates of 1 and 2 days of absence, while in another study of the same
economic activity, the frequency was 50.3% of the workers [7]. These results cor-
roborate with the present study, since most of the workers obtained certificates of 1 to 2
absent days (75.0%).
It was found that the proportion of men who were absent once a year was greater
than women, in contrast, the proportion of women who were absent five or more times
a year was greater than the proportion of men. Reis et al. [6] discovered that the chance
of a woman having a medical absence was 1.59 times greater than that of a man (95%
CI 1.09–2.31). Saldarriaga and Martínez [18] report that absenteeism is higher in
women than in men (RR 1.65; 95% CI 1.53–1.77).
The proportion of women with certificates working in the first shift was signifi-
cantly higher than in the second shift. A study of farmers, 110 men and 110 women,
revealed that the sensation of body discomfort is greater in women than in men [19].
The author justifies that women, in addition to performing their regular work in the
field, also perform numerous domestic activities, which increases the sensation of
discomfort. In the United States, data from the US Department of Statistics [20]
showed that women had an average rate of 3.6% of absenteeism, versus 2.1% of men.
The number of medical certificates presented resulted in 10,917 absent days/year,
with a mean of 11.3 ± 13.9 absent days per worker, with no difference between the
median absent days between men and women (p = 0.800). Reis et al. [6] conveyed a
total of 5,279 absent days/year, with a mean of 8.3 absent days per worker, with no
difference of absent days between men and (t = 1.85; p = 0.065).
Studies have found that most slaughterhouse workers who performed their activi-
ties in artificially cold environments, felt cold [21, 22] and perceived cold in general
(54.1%) [21] and hands (66.0%) [15]. Widanarko et al. [22] analyzed 3,003 workers
with different occupations and noted that working in a cold and humid environment
increased absenteeism.
Cummings [23] investigated 300 occurrences of injury incidents in a pig slaugh-
terhouse, and of 91 hand/wrist/forearm injuries, 57 (63.0%) occurred in cold envi-
ronments, where the main source of injury was tasks that required the use of hand tools.
Tirloni et al. [15] questioned 106 workers at a pig slaughterhouse and found an
association between cold perception and knife use (p = 0.001), with most workers
using a knife felt cold in the hands (81.0%).
Regarding the implementation of rotations, there was also no association between
this variable and the frequency of medical certificates. There is weak evidence to
indicate the effectiveness of job rotation when implemented in manufacturing indus-
tries, regardless of their purpose [24]. Toulouse and Richard [25] indicate that there
was a great deal of difficulty in implementing effective activities because of poorly
designed workstations, in relation to the workers’ anatomical characteristics, lack of
training for activities, and lack of organizational management.
The number of absent days per certificate had a positive correlation with the
workers’ time at the company. Neri et al. [26] identified a higher likelihood of
developing tendinitis or tenosynovitis as the worker increased their time at the com-
pany and tended to be absent from their activities when ill.
As for the diagnoses described in the medical certificates, the reason for sick leave
that caused the greatest number of absent days was due to musculoskeletal diseases.
According to Smartlab [11], musculoskeletal and connective tissue diseases led to the
frequency of absences longer than 15 days in Brazil. The results identified 40,292
absent workers for this reason in 2017, among all economic activities. The main cause
of these absences for benefit 91 (accidental relief) is back pain, followed by shoulder
injuries. In the year 2012, the back injuries had 26,037 cases of absence and the
shoulder injuries had 16,870. These occurrences have been constantly decreasing in
recent years, reaching 12,073 and 10,885, respectively in 2017 [11].
Studies conducted with slaughterhouse workers found that 71.2% [27] and 67.2%
[21] experienced body discomfort, with predominance in shoulder regions [21, 27] and
spine [28].
Due to the implementation of the NR-36, the reduction of medical certificates can
be verified in future studies with slaughterhouse workers. Considering that this norm
recommends preventive measures that can help in the reduction of the deviations, such
as: the alternation of postures (standing and sitting) and activities with different
physical and environmental requirements; the implementation of breaks; reduction of
harmful postures of body regions, among others [16].
The high number of sick leaves by the ICD “factors influencing health status and
contact with health services” (XXI) was related to general medical examinations. This
finding is justified by the lack of information described by this ICD, since there is no
way to identify the diagnosis that originated these absences. Studies that analyzed the
frequency of absences less than 15 days also verified the predominance of ICD XXI,
57.5% [29] and 23.9% [30]. A limitation of the study was the restriction to the data of
workers who were not absent from work during the analyzed period, making it
impossible to compare the two groups of workers and limiting the statistical analysis of
the data.
5 Conclusion
It is concluded that most workers obtained more than one medical certificate per year
and was absent from the company between one and two days. The most common
certificate frequency among men was once per year, while among women, there were
five or more certificates.
There was a difference between the first and second work shift in relation to the
number of absent work days, being greater in the first shift. On the other hand, there
was no association between the frequency of medical certificates per year and the work
shift, work environment, tools and job rotations.
The proportion of women with certificates working in the first shift was signifi-
cantly higher than in the second shift. However, there was no difference between the
absent days with certificates between men and women. It was found that the greater the
worker’s time at the company, the greater the number of absent days per certificate.
The diagnoses that produced more absences were the factors that influence health
status and contact with health services and musculoskeletal diseases. More than half of
the certificates due to musculoskeletal diseases did not describe the body region that
caused them to be absent, and of those who provided a description, the spine and
shoulder were the regions most affected.
Finally, it is suggested that longitudinal studies be carried out with workers from
different slaughterhouses and meat processing plants, with the objective of analyzing
the effects of NR-36 implantation on absenteeism due to disease, as well as supporting
preventive measures and promotion of health of these workers.
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The Prediction Models of the Maximum Power
Grip Strength and Pinch Strength in Taiwan
Manufacturing Workers
Shu-Min Chao, Yi-Chen Chiu, and Ei-Wen Lo(&)
Department of Occupational Safety and Health, School of Public Health,

China Medical University, Taichung City, Taiwan
{u104014409,u101014303,loeiwen}@cmu.edu.tw
Abstract. Power grip and pinch force are considered as important parameters
of hand function. The aims of the present study were to compare the maximum
hands strength of Taiwanese workers with the results from different countries
and to establish the prediction models on the maximum muscle strength for
different type of force exertion for Taiwan manufacturing workers.
One hundred and ninety-eight participants (99 males/99 females) were
recruited to measure three different types of maximum strength (power grip,
palmar pinch, lateral pinch). The participants were in five different groups (20–
24, 25–34, 35–44, 45–54, 55–64).
Study results revealed that hand strength of power grip, lateral pinch and
palmar pinch of right-hand exertion were 31.9 ± 12.6 kgw, 7.1 ± 2.2 kgw and
6.6 ± 2.0 kgw, respectively. Most of the maximum hands strengths of Tai-
wanese workers were smaller than those in Europeans and American. Using
power grip force predict lateral pinch (Adjusted R2 = 0.717) and palmar pinch
(Adjusted R2 = 0.609).
Keywords: Maximum muscle strength Hand exertion Power grip

Lateral pinch Palmar pinch Prediction model
1 Introduction
According to the Ministry of Labor (Taiwan), occupational low back pain and neck and
shoulder diseases are the most common occupational diseases in Taiwan. According to
the statistics of occupational injury system from January to June in 2018 of the Min-
istry of Labor, the number of work-related musculoskeletal disorders accounted for
75.44% of occupational injuries and diseases, which is consistently highest compared
to other types of injuries and disorders every year. Among them, 61.57% of the
occupational injuries were paid in the category of arm and neck and neck diseases, and
the occupational low back pain accounted for 13.88%. The proportion of female upper
extremity musculoskeletal injuries was 15.61% higher than that of males and most of
them were in the age between 50 and 59 years old. This age group accounts for 73.08%
of the occupational injuries paid for this age. In addition, the manufacturing industry
accounts for 24.91%, which was the highest among all industries.

https://doi.org/10.1007/978-3-030-20145-6_46
474 S.-M. Chao et al.
To protect employees from WMSDs, the Occupational Safety and Health

Administration (Taiwan) issued the Ergonomics Guide for Prevention from Muscu-
loskeletal Disorders in 2014. Many risk assessment tools had been recommended. All
of those risk assessment tools were mainly developed in Europe and America, espe-
cially for hand force. Race difference plays an important role on the muscle strength.
However, the maximum hand strength data in the manufacturing in Taiwan is not
enough and a revision of these tools may be necessary.
Regarding to the power grip strength, Nilsen et al. found that the maximum muscle
strength of men and women was in the age of 30–39 years, 567 N and 333 N,
respectively. In the study of Mathiewetz et al., the maximum grip strength was found in
the age group of 25–39, 54.78 kgw for men and 34.37 kgw for women. Although the
studies found that measures of power grip strength with one trial was reliable [1, 2], the
results from Mathiewetz et al. found that using means of three trials reached the highest
degree of reliability [3].
Nilsen et al. and Mathiewetz et al. found that the relationship between pinch
strength and age, gender, and handedness. Nilsen et al. pointed out that the peak
strength of pinch strength appeared in 40–49 years for men (87 N) and 20–29 years for
women (58 N). Mathievetz et al. found that men and women in the right hand tip pinch
maximum force appeared in 45–49, 8.48 kgw for males and 5.99 kgw for females [4].
Some scholars point out that the different of body size, muscle mass and hand strength
caused by different races affect the pinch strength [5, 6].
Chang established a norm for the hand grip force and tip pinch force for students
with the age from 6–22 years old in 2002 [7]. Shi et al. conducted a study on the hands
strength of young men and women at the age between 18 to 30 [8]. However, these data
can’t represent the maximum hand strength of the Taiwanese workers.
In addition, measures of different types of hand strength takes lot of time. Repeated
measures of the strength using the same muscle may result in muscle fatigue. Finding
out the correlation between the different types of hand exertion and establishment
prediction mode is a way to reduce the numbers of hand exertions. The aims of the
present study were (1) to compare the maximum hands strength of Taiwanese workers
with the results from different countries and (2) to establish prediction models on the
maximum muscle strength for different type of force exertion in Taiwan manufacturing
workers.
2.1 Study Participants

One hundred and ninety-eight participants (99 males and 99 females) were recruited
from Taiwan manufacturing workers. The participants were in one of five age groups
(20–24, 25–34, 35–44, 45–54, 55–64). Subjects were checked their health status and
made sure that they did not have any pain or cumulative trauma disorders on upper
extremities.
The Prediction Models of the Maximum Power Grip Strength and Pinch Strength 475
2.2 Instrument
Grip strength was determined using a Jamar dynamometer (Biometrics Ltd G200, UK).
Grip span was adjusted to the optimal based on the hand width of each subjects. Most
of the subjects select the span ranged from 3.4 cm to 4.7 cm. The pinch force was
measured by the pinchmeter (Biometrics Ltd, P200, UK). The measurement range was
0–20 kgw, and the measurement unit is Newton (N).
2.3 Testing Procedure

Before the experiment, the Jamar dynamometer and pinchmeter were calibrated.
A questionnaire was used to collect basic information such as weight, height, gender,
dominant hand and occupation of the subject. Measuring the hand length, then the grip
distance is determined by the hand length.
Three types of hand strengths were measured - power grip, palmar (three fingers)
pinch, and lateral pinch. Participants exerted the force in a stand position with the
postures recommended by the American Society of Hand Therapists (i.e. shoulder in
adduction and neutral rotation, elbow flexed at 90°, forearm in neutral position).
Participants were asked to gradually increase the exertion to a maximum in 1–2 s and
maintained the force for 5 s. Among these 5 s, 3-second data were averaged to rep-
resent a single maximum strength. Each type of hand strength was measured three
times [9], and the mean of three times was represented the maximum strength. To avoid
the fatigue, a 3-minute rest was given between two trials.
2.4 Data Analysis

There were 18 trials performed by each participant (3 types of force type 3 tri-
als dominant and non-dominant hands). The mean and standard deviation (SD) were
calculated for each age group of the dominant and non-dominant hands of men and
women.
The descriptive statistics mean and standard deviation (SD) were used to presented
the gender effects on the three maximal hand strengths. Student’s t test was used to
compare the difference of two groups. Multiple linear regressions were used to find the
prediction model of three types of hand strength with biographic information and
anthropometric data.
The study data was analyzed using the statistical analysis software SPSS version
22.0.
3 Results
The demographic information and anthropometric characters of the participant are

shown in Table 1. Men’s height, weight, BMI and hand length are significantly higher
than womens’. Most subjects’ dominant hand is their right hand (93.9%).
Table 1. Demographic information and anthropometric characters of the participant (n = 198)

Male Female p-Value Total
(n = 99) (n = 99) (n = 198)
Mean + SD Mean + SD Mean + SD
or n(%) or n(%) or n(%)
Age (year)a 39.1 ± 12.8 39.1 ± 13.1 0.974 39.1 ± 12.9
Hight (cm)a 171.9 ± 5.9 159.5 ± 5.0 <0.001** 165.7 ± 8.3
Weight (kg)a 73.7 ± 12.8 59.0 ± 9.3 <0.001** 66.3 ± 13.4
BMI (Kg/m2)a 24.9 ± 3.8 23.2 ± 3.4 0.001* 24.0 ± 3.7
Hand Length (cm)a 20.0 ± 1.9 17.8 ± 1.6 <0.001** 18.9 ± 2.0
Grip distance (number 2 4(2.0%) 20(10.1%) 24(12.1%)
of subjects)b 3 95(48.0%) 79(39.9%) 174(87.9%)
Handedness (number R 95(48.0%) 91(46.0%) 186(93.9%)
of subjects) L 4(2.0%) 8(4.0%) 12(6.1%)
*p < 0.05 **p < 0.001
a
Student’s t Test.
b
The grip distance 2 is defined as the second grip distance (4.7 cm); the grip distance 3 is
defined as the third grip distance (6.0 cm)
The left and right hands of men were significantly stronger than women for all three
types of hand strength (p < 0.001). The mode of force with the smallest gender dif-
ference is the left lateral pinch force, and the different in the right hand is the hand
power grip force. As shown in Table 2.
Prediction models by biographic information and anthropometric data on different
type of hand strength for right and left hand are shown in Table 3. The power grip of
the right-hand prediction model by gender, age, height and weight has the best
explanatory power (adjusted R2 = 0.701). The gender, height and weight can be used
to predict the maximum lateral pinch strength for right and left hand with the adjusted
R2 = 0.617 and R2 = 0.575, respectively. Only the two variables of gender and height
can be used to predict the maximum palmar pinch strength, which was the worst one on
the three types of hand strength.
Repeated exertions of the hand strength using similar muscle groups may result in
muscle fatigue. The best way to minimize the muscle fatigue is to reduce the numbers
of hand exertion. Therefore, we would like to propose models to predict the palmer and
lateral pinch strength by power grips, and the results were shown in Table 4. Using
gender, age and strength of power grip of right hand can be used to predict the
maximum lateral pinch strength of right hand and has the best explanatory power
(adjusted R2 = 0.717). Biographic information and anthropometric data were not useful
to predict the palmer pinch strength, except the power grip strength.
Table 2. The effects of genders and hands (R/L) on muscle strength for three types of exertions
(Unit: kgw)
Force Hand Male (n = 99) Female (n = 99) p-Valuea Total (n = 198)
type Mean ± SD Max Min Mean ± SD Max Min Mean ± SD Max Min
Power R 41.9 ± 9.4 63.9 18.1 21.8 ± 5.1 32.3 9.9 <0.001** 31.9 ± 12.6 63.9 9.9
grip L 39.7 ± 8.4 59.9 22.5 20.8 ± 5.0 35.8 10.2 <0.001** 30.2 ± 1 59.9 10.2
1.7
Palmar R 8.7 ± 1.6 12.5 5.4 5.4 ± 1.2 9.0 2.6 <0.001** 7.1 ± 2.2 12.5 2.6
pinch L 8.2 ± 1.7 12.9 3.7 5.0 ± 1.2 8.9 2.4 <0.001** 6.6 ± 2.1 12.9 2.4
Lateral R 8.0 ± 1.7 13.3 4.5 5.3 ± 1.3 9.6 2.8 <0.001** 6.6 ± 2.0 13.3 2.8
pinch L 7.4 ± 1.7 12.4 3.1 5.0 ± 1.1 8.8 2.5 <0.001** 6.2 ± 1.9 12.4 2.5
*p < 0.05 **p < 0.001
a
Student’s t Test.
Table 3. The prediction models of three different types force by biographic information
Force Hand The prediction models Adj-
R2
Power R −12.849–13.847 (Gender) − 0.082 (Age) + 0.368 70.1%
grip (Height) + 0.116 (Weight)
L −5.131–13.396 (Gender) + 0.227 (Height) + 0.143 70.0%
(Weight)
Lateral R 1.801–2.404 (Gender) + 0.045 (Height) + 0.022 (Weight) 61.7%
pinch L 2.099–2.333 (Gender) + 0.04 (Height) + 0.021 (Weight) 57.5%
Palmar R −0.726–1.924 (Gender) + 0.062 (Height) 47.5%
pinch L 0.179–1.779 (Gender) + 0.052 (Height) 43.9%
Force: kgw; Age: years; Gender: male = 1, female = 2; Weight: kg; Height: cm
Table 4. Models used to predict two types of pinch force by power grip
Force type Hand The prediction models Adj-
R2
Lateral R 4.578 + 0.107(Power grip of RH) − 1.13(Gender) + 0.02 71.7%
pinch (Age)
L 4.527 + 0.118(Power grip of LH) − 0.947(Gender) 68.7%
Palmar R 0.643 + 0.125(Power grip of RH) 60.9%
pinch L 2.528 + 0.121(Power grip of LH) 57.2%
Force: kgw; Age: years; Gender: male = 1, female = 2; Weight: kg; Height: cm
4 Discussion
Power grip use the muscles of the whole arm, so it is the strongest in the three different
types force. Lateral pinch force is stronger than palmar pinch force, and it same as the
previous study [4, 10, 11]. As the age increased, the maximum hand strengths
decreased. The maximum strengths of females were about 52–66.4% of the maximum
strengths of males.
In comparison of the power grip strength with other studies, a study conducted by
Mahammadian et al. in Iranian adults found that the maximum strengths of females
were about 60.1% (26.5/44.1 kgw) of the values of males [11]. Steiber et al. found that
the maximum strengths of females were about 64% (33.3/52 kgw) of the values of
males in German [12]. Regarding to the lateral pinch, the strength of females was
significantly lower than the strength of males. Shih point that the maximum strengths of
females were about 60% of the values of males [13]. Harth et al. found that the
maximum lateral pinch strengths of right hand were 7.91 kgw for females, and 11.67
kgw for males. For palmar pinch, the maximum strengths of right hand were 7.24 kgw
for female, and 10.66 kgw for male [14]. Most of the maximum hands strengths of
Taiwanese workers are less then Europeans and American.
In the prediction models, using biographic information, such as gender, age, height,
weight and BMI can predict the maximum hand strength. Age and gender are important
factor to hand strength. In the present study, the variable of gender also plays important
role in the prediction of hand strength [11]. BMI is modestly correlated with hand
strength, and the result is similar to other study [15].
5 Conclusions
Studying in Taiwan manufacturing workers age 20–64 years old. Power grip is
strongest in three types force. The maximum strengths of females were about 52–66.4%
of the maximum strengths of males. Most of the maximum hands strengths of Tai-
wanese workers are smaller than Europeans and American. The prediction models can
use in health manufacturing workers in Taiwan, and to reduce measures times of the
strength.
Acknowledgements. Part of this study was a research grants supported by the Ministry of
Science and Technology, Taiwan (MOST 107-2221-E-039-009-MY2).
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Path Analysis of the Antecedents
and Occupational Stress Among the Managers
of the Textile Industries: A Cross-Sectional
Study from Pakistan Using PLS-SEM
Aftab Ahmad(&), Amjad Hussain, Mohammad Pervez Mughal,

Nadeem Ahmad Mufti, and Muhammad Qaiser Saleem
Department of Industrial and Manufacturing Engineering,

University of Engineering and Technology (UET), Lahore, Lahore, Pakistan
aftabahmadrao@gmail.com, chamjad@gmail.com,
mp_mughal@hotmail.com, {namufti,qaiser}@uet.edu.pk
Abstract. The goal of the current study is to explore relationships between the
antecedents and perceived occupational stress amongst the managers of the
textile sector organizations in Pakistan. Sheldon Cohen’s perceived stress scale-
10 (PSS-10) was employed to measure the perceived occupational stress level
while a self-designed instrument to collect data to identify the antecedents. Data
collected was analyzed primarily through exploratory factor analysis (EFA) and
the partial least squares structural equation modeling (PLS-SEM). The stress
components physical agents at work (b = 0.292, T-value = 2.765, p = 0.006)
and social working environment (b = 0.253, T-value = 2.618, p = 0.009) were
found as statistically significant antecedents of the occupational stress. Inter-
ventions are to be designed and implemented to deal with the situation. The
findings of the study will benefit the practitioners and the researchers in carrying
out further research and devising and implementing interventions strategies.
Keywords: We occupational stress Antecedents Textile industry

Managers Organizations PLS-SEM
1 Introduction
The Pakistan’s textile sector is the largest sector amongst manufacturing sectors of the
country. It provides jobs to the one third of the country’s entire work force. Specifi-
cally, it gives employment to around 49 million individuals of the country. The textile
industry produces millions of cotton bails per year emerging the country. It is at
number three in Asia in spinning capacity while at eighth in exports of textile related
goods [1].
In the present era, the competitiveness is the biggest consideration for the orga-
nizations where the textile sector organizations have no exemptions. Rather, it is more
in textile sector organizations where emphasis on quantity and quality has put great
pressures on the stakeholders, especially the employees of these organizations. Because
of the nature of job, having more responsibility factor, the managers of organizations,

https://doi.org/10.1007/978-3-030-20145-6_47
Path Analysis of the Antecedents and Occupational Stress 481
especially of textile and clothing organizations are more vulnerable to perceive the
impacts of such pressures. According to the definition of stress, such pressures create
mental stress among the individuals. From the employees’ perspective, generally
mental stress is termed as job stress, occupational stress, workplace stress, or simply
work-stress. The work-stress has become a major worry for all the stakeholders that
obviously are the employees, the organizations, the employers, and even nations,
countries, and societies. Putting the work-stress interconnected issues in place is very
crucial to handle, as the individuals are the basic entity in maneuvering the imple-
mentations within the enterprises while firmness of the human resources is stoutly
dependent on their wellness [2, 3]. The goal of the study is to identify the relationships
between the antecedents of occupational stress and the levels of perceived occupational
stress.
Stressful work environments give rise in stomach related disorders, nervousness
and anxiety, and cardio-vascular diseases [4]. It has been found as the key source of
more than 50% of all illnesses. Despite, it has not been shaped up authentically. Every
year, in Europe, stress-related diseases results in the wastage of around 91 million
working days are wasted [5]. Adverse consequences of the work stress reduce the
efficiency, execution capacity, zeal, and increase stubbornness. It also outcomes in the
absence of care for the co-workers and the establishment besides decrease in the
commitment [6]. The technological and hierarchical changes add to the work stress,
which eventually augment ailment. Commissioning of modern equipment’s, down-
sizing and process innovations are the examples of adverse impacts of the work stress
[7]. It is ascertained that work stress has numbers of adverse impacts on the individuals
and organizations. Therefore, it is imperative to address the stress related issues of the
organizations.
2 Literature Review
Numerous research works, on the issues concerning occupational stress, are available
in the printed and un-printed literature. In these studies, the emphasis have been seen in
almost all the sectors, specifically in teaching, medical services, and sports [8–11]
where its pervasiveness in the developed countries has been well established. On an
average in Europe in the year 2005, it was estimated as 22% while in 2010 as 21%.
However, these assessments varied from country to country [8]. On the other hand, in
developing countries, the research work on this particular spot is imperfect despite the
presence of abundant employees. It is obvious that there is a lack of reliable and
meticulous information appropriate for the practitioners to design and implement stress
management intervention policies in the organizations [12].
The studies have identified quite a number of antecedents of work stress. Social
living and working environments, co-employees’ support deficiency, and absence of
adequate family friendly policies in the organizations, unrealistic deadlines, need for
the control and decision latitude, inadequate inward communication, and insecure
physical working environment are few examples of work stress antecedents [5, 6].
Also, stress is the outcome of company’ attitude in framing policies which are preju-
diced because of legal disputes instead considering one’s performance. The workplace
482 A. Ahmad et al.
politics has also been emerged as a stressor for the professionals and the qualified
workforce [13, 14]. Large unbendable organizations where the decision makers have
less authority in making their decisions give rise to high occupational stress. Dictatorial
attitude of the seniors in running the company affairs results in increased job turnouts,
more absentees, and lack of zeal in subordinates. A study on in-house auditors iden-
tified that dearth of influential in-house communication, dishonorable procedures, and
apparently continual filing are astonishingly up setting [11, 13–16].
The studies related to the work stress in general are abundant yet there has been a
scarcity in the stress related research work pertinent to the textile sector employees.
There is a need to thoroughly investigate the matter so that objective interventions can
be designed and implemented for the control and conclusion of work stress as it is not
only upsetting the whole working of the organizations but also the happening inter-
connections between the stressors, impacts and accurate interventions of occupational
stress have not been correctly taken into account [3, 17]. It is therefore crucial to create
efforts for toting up values in the intervention processes to control the adverse effects of
work stress on the employees.
3 Methods and Materials
The cross-sectional study was conceded out in three steps. As a first step of the study,
an exploratory theoretical and methodological base was required for which, an
extensive literature review, on the subject, was carried out. Then, narrowing down the
examination of the literature, the most discovered antecedents of occupational stress
were scrutinized. Lastly, the research instrument was designed for information gath-
ering from the subjects of study, and assessment of the figures collected was done.
3.1 Participants of the Study

One hundred and twenty-five lower and middle level managers were randomly selected
for the purpose of this cross-sectional study. They were from different textile organi-
zations at Pakistan. The fiber manufacturing, cloth manufacturing, socks fabrication,
and home textiles/apparel were the essential domains for the surveys. Male and female
managers (lower and middle level) belonging to the distinct departments of these textile
organizations were entitled to participate in the survey. However, for the purpose of
comparison, they were grouped in two spheres: one composed of middle managers.
Mainly, the distinct departments they were belonging to were HR, Export and Mar-
keting, Accounts and Finance, Production, and Admin.
3.2 Survey
In order to realize the objective of the study, the information was gathered employing
Cohen’s PSS-10 and a researcher made data collection instrument, which was com-
posed of some demographic questions as well. Before carrying out the survey,
equipped and dedicated experts briefed the participants about the spur behind the
purpose of the research. The participants were also told about the core of the poll and
how to get it filled. The survey-conducting experts remained available, during the
process of filling out the questionnaires, in order respond to the queries of the partic-
ipants. In addition, any omitted information in the polls was got filled from the par-
ticipants simultaneously. To preserve confidentiality, it was made clear to the subjects
that the polls are unanimous, and the information gathered will not be shared with
anyone including their bosses and the employers.
3.3 Instrument
The purpose of this cross-sectional study was to identify the relationship between the
antecedents and levels of perceived stress amongst the managers of textile sector
organizations. To attain the purpose, antecedents of work stress among the survey
participants and their perceived stress levels were to be examined. For the purpose of
measuring perceived stress levels, Sheldon Cohen’s (PSS-10) was utilized whereas to
identify the antecedents of work stress, a self-designed research instrument was
designed items of which were integrated according to the need of the study in addition
interpretation of the workplaces, focus group discussions and the interviews in the
study organizations. Before doing this, inspection of the relevant literature was also
carried out. The self-designed instrument consisting of 72 items is the part of big
research project. Based on some of the data, 3 of the studies had already been published
[18–21] and the novel part is being presented through this study. The subjects were
supposed to give their view by retorting to particular assertions. To record their views,
the survey participants were to select a number from the scale of 1 to 5 in the likert-
type, 1 for no stress and 5 representing highest stress.
3.4 Statistical Procedures

The study was intended to examine the correlation of the work stress antecedents with
the perceived stress levels by analyzing the information collected. The EFA, descriptive
analyses, and the PLS-SEM were deployed. For EFA, SPSS 23 [22] was employed
while smart PLS version 3.2.8 for PLS-SEM [23]. In EFA, the components for the
work stress antecedents were extracted. Prior to applying the exploratory factor anal-
ysis (EFA) on the data collected, its suitability was checked. The model’s suitability for
the path analysis was also confirmed. For the purpose PLS-SEM’s measurement model
was used. Finally, Path analysis using PLS-SEM was utilized for the analysis of the
paths between the identified antecedents and the perceived occupational stress of the
managers of the textile companies, that is, the identification of the associations among
the work stress antecedents and the perceived work stress.
4.1 Exploratory Factor Analysis

Suitability Measures. The examination of the information gathered was commenced
with building the suitability of the data to be analyzed with the EFA. The ‘Bartlett test’
484 A. Ahmad et al.
and ‘KMO’ were executed. The results of these assessments are depicted in Table 1
which shows the value of KMO as 0.776, an adequate extent and the “Bartlett’s test”
as zero; an ideal being under 0.05. Hence, the appropriateness of the data for the EFA
was established.
Table 1. Suitability measures

KMO measure of sampling sufficiency 0.776
Bartlett’s test of sphericity Approx. Chi-Square 1306.810
Degree of freedom 231
Significance value 0.000
Principle Component Analysis. After conducting EFA on the data collected, six
components for the work stress antecedents were identified. The components were
extracted using the criterion of scree plot. The components were named as per the
common attributes of the items loaded onto them. Table 2 shows the names, number of
items, and the variances explained by the components. Overall, 20 items loaded onto
six components. The items with loadings less than 0.30 were discarded besides those
having cross loadings. The identified comprised of 20 items. These components
described an adequate cumulative variation of 69.4%, exceeding the requisite explained
variance of 60%. The items’ loading onto their respective components was above or
around 0.50.
Table 2. Components for the antecedents of the work stress

Antecedents (Total variance explained 69.4%)
Component name No. of items Variance explained
Physical agents at work 5 25.347
Training & career development 3 16.661
Managers’ support at work 3 8.771
Work family conflict 4 7.586
Social working environment 3 6.312
Role clarity 2 4.712
4.2 Partial Least Square Structural Equation Modeling (PLS-SEM)

To examine the PLS path model (Fig. 1), this cross-sectional study deployed the
Smart PLS 3 software version 3.2.8 [23].
Table 3. Results summary for latent variables

Latent Items Loadings VIF Composite Cronbach’s AVE
variables reliability alpha
Managers’ MS_1 0.920 2.251 0.89 0.821 0.73
Support at MS_2 0.863 1.78
work (MS) MS_3 0.775 1.774
Perceived PS_4 0.820 1.414 0.774 0.608 0.467
Stress (PS) PS_5 0.596 1.158
PS_7 0.546 1.163
PS_10 0.737 1.307
Physical PAatW_1 0.876 2.762 0.888 0.844 0.616
Agents at PAatW_2 0.852 2.125
Work (PAatW) PAatW_3 0.725 1.742
PAatW_4 0.796 2.268
PAatW_5 0.652 1.558
Role Clarity RC_1 0.849 1.446 0.873 0.714 0.775
(RC) RC_2 0.911 1.446
Social SWE_1 0.666 1.414 0.882 0.811 0.718
Working SWE_2 0.941 2.574
Environment SWE_3 0.909 2.407
(SWE)
Training & T&CD_1 0.787 1.918 0.877 0.807 0.705
Career Dev. T&CD_2 0.920 1.856
(T&CD) T&CD_3 0.805 1.589
Work Family WFC_1 0.802 1.529 0.847 0.758 0.58
Conflict WFC_2 0.738 1.443
(WFC) WFC_3 0.800 1.593
WFC_4 0.703 1.343
Explanation of the outcome includes two stages: the measurement model’s

assessment, and the structural model’s evaluation. The results, Table 3, show that the
measurement model achieved all the minimum requirements. The entire composite
reliability and the Cronbach’s alpha values were greater than 0.70, except four, that
confirms the reliability of the internal consistency as well [24, 25]. Furthermore, the
values of all AVEs (average variance extracted), except one, exceed the threshold of
0.50 thus supporting the convergent validity of the constructs [26].
486 A. Ahmad et al.
Fig. 1. Network model, loadings and the path coefficients
After setting up the reliability and convergent validity of the constructs, the dis-
criminant validity of the constructs was checked. For the purpose, the Fornell and
Larcker (1981) criterion [27] was used and found excellent, Table 4.
Table 4. Discriminant validity (construct wise) retrieved from ‘Fornell Larcker criterion
Construct MSatW PAatW PS RC SWE T&CD WFC
MSatW 0.855
PAatW 0.285 0.785
PS 0.229 0.479 0.684
RC 0.08 0.183 0.256 0.881
SWE 0.429 0.389 0.477 0.272 0.848
T&CD 0.37 −0.002 0.184 0.324 0.216 0.839
WFC 0.056 0.477 0.439 0.197 0.445 0.025 0.762
Testing Path Model. The path-weighting scheme in Smart PLS3 version 3.2.8 was
used to test the path model of the study [28]. The bootstrapping method used 125 cases
and 1,000 samples. Before examining the structural model, the measurement models
were evaluated, placed as above. The model’s quality was also checked. For the
purpose, coefficient of determination (R2), and the path coefficients were checked.
Before doing this, the potential collinearity of the model was confirmed as excellent.
The subsistence of VIF values less than the threshold of 0.5 reject the collinearity issue,
Table 3. R2 value (0.369), being above the threshold of 0.2 confirms greater extent of
the predictive accurateness of the model [29, 30].
Table 5. Path coefficients retrieved from bootstrapping

Original Sample Standard T statistics P values
sample mean Deviation (|O/STDEV|)
(O) (M) (STDEV)
MSatW -> PS −0.019 0.003 0.088 0.211 0.833
PAatW -> PS 0.292 0.299 0.106 2.765 0.006
RC -> PS 0.065 0.083 0.094 0.691 0.49
SWE -> PS 0.253 0.234 0.097 2.618 0.009
T&CD -> PS 0.112 0.118 0.092 1.208 0.228
WFC -> PS 0.172 0.178 0.119 1.442 0.15
Finally, the evaluation of the strength and significance of the path coefficients was
done in order to make the path analysis of the antecedents and the occupational stress.
PLS-SEM bootstrapping method of smart PLS3 version 3.2.8 yielded numbers for the
‘Path Coefficients’ and ‘T-Statistics’. The path is said to be significant when the value
of T-statistics is more than 1.96 under a p-value of 5%. Table 5 shows, the non-
significance of the paths Management Support at Work -> Perceived Stress; Role
Clarity -> Perceived Stress, Training and Career Development -> Perceived Stress,
and Work-Family Conflict -> Perceived Stress having p-values 0.833, 0.49, 0.228, and
0.15 respectively. The paths Physical Agents at Work -> Perceived Stress, and Social
488 A. Ahmad et al.
Working Environment -> Perceived Stress are statistically significant and have the T-
values larger than 1.96. Both the statistically significant paths have beta values 2.292
and 2.234 indicating strong relationship.
The objective of the study was to examine the relationships between the work stress
antecedents and perceived occupational stress of the managers of the textile companies.
This was done by analyzing the path between work stress antecedents and perceived
occupational stress. The results revealed that the work stress antecedents Physical
Agents at Work and Social Working Environment have statistically strong effect on the
perceived occupational stress of the lower and middle managers that the textile sector
organizations. The antecedent Physical Agents at Work is comprised of the five indi-
cators that relates to existence of physical danger, noise pollution, breathing fumes, and
harmful substances at the workplaces. In the textile organizations, all the indicators
mentioned above matter the employees working over there. However, their intensity
can vary. For example, subsistence of the physical danger at the workplace may not be
a big issue but the noise pollution, and breathing fumes are the major issues in textile
organizations especially, in spinning (fiber manufacturing), and weaving (fabric or
cloth manufacturing) areas. Constant and prolonged working in such workplaces is
distressing for the individuals employed over there. The other antecedent that has
statistically strong impact on the perceived stress of the managers of textile organi-
zations is Social Working Environment. It is comprised of three indicators which relates
to the discrimination, harassment and bullying at the workplaces. These indicators
relate to the attitude of the individuals, especially of the bosses, with their sub-ordinate
colleagues. The results of this study established that the social environment of the
textile sector organizations is a major contributing factor towards the perception of
occupational stress in lower and middle level managers. In order tom ease the situation,
interventions specific to these two antecedents are to be designed and implemented.
5 Conclusion and Recommendations
The objective of the study was to explore relationships between the antecedents and
perceived occupational stress among the managers of the textile sector companies. To
attain the objective of the research, information was gathered from the 125 subjects.
They were the managers of diverse textile sector organizations of Pakistan. The
application exploratory factor analysis (EFA) on the data collected through self-
designed instrument identified six components for the antecedents of work stress that
explained a total variance of 69.4%. The components relating to the Physical Agents,
Training & Career progression, Managers’ Support, Work Family Conflict, Role
Clarity, and Social Working Environment in the organizations. The information
regarding perceived occupational stress of the participants was gathered using Cohen’s
PSS-10. The analysis of the paths between the antecedents and perceived occupational
stress yielded that the antecedents Physical Agents at Work, and Social Working
Environment have strong effects on the perceived stress of the participants. Stress
management interventions are to be designed and implemented to deal with the situ-
ation. The findings of the study will benefit the practitioners and the researchers in
carrying out further research and devising and implementing interventions strategies.
Acknowledgments. The cooperation of the industry in data collection is acknowledged.
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Inclusion of the Informal Sector Pension:
The New Pensions Act
Olivia Anku-Tsede(&)
University of Ghana, Legon Boundary, Accra, Ghana

oanku-tsede@ug.edu.gh
Abstract. The study was conducted to examine the extent to which informal
sector workers understand new pension scheme of Ghana, together with its
benefits, challenges and adequacy in guaranteeing their retirement income
security. Primary data through interviews and focus group discussions, and
secondary data through review of relevant laws were obtained. A total of 86
participants constituted the sample, made up of the regulator, regulated and
cross-section of informal sector workers. There is generally low patronage by
the informal sector workers which can be attributed to lack of trust in the
trustees. Awareness creation and public education are still being embarked upon
to win public trust and confidence. The adequacy of the pensions scheme is
attained through investments in permissible ventures such as treasury bills, real
estate, bonds and stocks.
Keywords: Informal sector Pensions inclusion Pensions act Ghana
1 Introduction
Over the last four decades, many workers have retired with inadequate retirement
income security [1]. This situation has generated a lot of debate in social welfare
literature [2]. Though pension systems have become vital in the provision of income
security in the event of retirement and other eventualities, these systems are rife with
numerous structural and policy setbacks due to the lack of understanding of pension
administration and absence of comprehensive pension mechanisms to cater for post-
retirement stage of informal sector workers [3]. The World Social Protection Report for
2014–2015 indicates that nearly 48% of all workers who are due for retirement do not
qualify for pension benefits because they are not enrolled on a pension scheme, and for
those who qualify, pension levels are inadequate, hence, majority of the world’s retired
workers have no income security, have no interest to retire and must continue working
as long as they live [4].
It is argued that the primary function of a pension scheme is to provide income
security for workers during retirement [5]. However, pension schemes are not only
limited to providing retirement income but all plans which provide vested termination
benefits, disability benefits and bereavement benefits either in the form of lump sum
benefit or an annuity to a surviving spouse or other dependents [6]. Retirement should
therefore be prepared for in terms of policy and practical implementation. Gillion [7]
advocates that, ideally pension schemes should cover the entire population since

https://doi.org/10.1007/978-3-030-20145-6_48
492 O. Anku-Tsede
retirement is an inevitable aspect of human development which would be experienced by

all and sundry. Worryingly, pension systems only tend to favour formal conditions
neglecting the predicament of the informal conditions [8]. Most pension schemes usually
cover only few numbers of workers in the formal sector leaving out workers in the
informal sector [9]. As a result, many international communities such as International
Labour Organization (ILO) and national governments are setting up policies required to
institute a range of diverse policy initiatives, which are aimed at improving informal
sector pension coverage given the country-specific conditions and environments [9].
To provide pension schemes for informal sector workers to solve the problem of
income insecurity, SSNIT in 2005 introduced the Informal Sector Social Security
Scheme [10], however participation in this sector was very low [11]. As a result of the
low coverage of the SSNIT-informal sector pension scheme, The National Pensions
Act, Act 766 along with the Third-tier Contributory Pension Scheme (TTCP) was
established. This establishment was considered as the right direction in ensuring a
wider coverage and room for participation for all informal sector workers.
The Third-tier Pension Scheme is a little over ten years, and this study thus
examines the extent to which the informal sector workers have accepted the new
pension scheme, the benefits of the third-tier pensions scheme, challenges, as well as
the adequacy or otherwise of Ghana’s third-tier pension scheme in guaranteeing
retirement income security for informal sector workers.
1.1 Problem Statement

Pension schemes have traditionally been designed to cater for salaried and fixed income
earners. This is mostly due to ease of arrangements between scheme managers and
employees who undertake formal jobs in terms of assured sums of constant contri-
bution. The informal sector has not been well-catered for due to the peculiarities of the
sector and accompanying challenges of irregular income supply. Informal sector is
defined by Women in Informal Employment, Globalizing and Organizing as com-
posing of business owner (in one’s account of events, as well as, family business), paid
labours in informal works, unpaid workers in family businesses, casual workers
without fixed employment, subcontract workers connected to informal enterprises and
subcontract workers related to formal enterprises. An informal sector worker is
therefore a worker (owner of a business) that transacts business in the absence of a
labour contract, and have the tendency to work on a small-scale basis and is ill-
equipped in terms of education and skills, and owns scarce resources for significant
physical investment such as locations and equipment, as well as, machinery [12–14].
This sector of the economy is often composed of petty traders, hawkers, fishermen,
fishmongers, commercial drivers, savings collectors, food and street vendors, small
scale mechanics etc. [13].
In most economies, governments take appropriate mechanism to provide pension
schemes for formal sector workers with minimal attention to informal sector workers
[9]. Kpessa [2] argues that, blue-collar workers and urban middle class benefit from
relatively generous modern pension policies whilst rural inhabitants and informal sector
workers continue to depend on traditional social protection arrangements. With the
generally limited provision for the informal sector in pension provisions, Ghana
Inclusion of the Informal Sector Pension: The New Pensions Act 493
established the third-tier pension scheme which sought to expand pension coverage to
the informal sector with the view to enhancing income security for such workers
(National Pensions Act 2008, Act 766, Section 30).
Pension reform and retirement income security have gained wider attention in most
economies across the globe as these greatly impact on workers’ performance and tenure
[15]. There have been several studies conducted on pension reforms and retirement
income security for workers [16–18]. The findings of these studies outline how the
informal sector has been shelved as far as pension system is concerned. Unfortunately,
pension schemes in relation to replacement incomes have been focused on the formal
sector with little in place for the informal sector [9].
The United Nations Development Program [19] indicates that informal sector
workers within the Ghanaian economy constitute about 86–90% of the total population
of Ghana’s employment. A recent report from the Ghana Statistical Service in 2017
confirmed that none of the ten regions in Ghana has less than 80% of businesses being
informal. This gives the indication that, lack of patronage for pension scheme or lack of
coverage of the informal sector in the pension provisions means that more workers are
going to retire with little or no income to sustain them. Due to these challenges, several
policies have been formulated by the NPRA to involve the entire informal sector
workforce within the ten regions of Ghana to sign unto the third-tier contributory
pension scheme [20]. With the introduction of the current third-tier pension scheme in
2008, it is ambiguous as to whether all the snags inherent in the SSNIT informal sector
pension scheme have been resolved. In view of these gaps, the study therefore sought
to explore informal sector pension provision under the New Pensions Act within the
last decade and the associated challenges with the informal sector while contributing to
the incessant debate on pensions in Ghana and the world in general.
Pension provides a source of income for retirees and represents money paid for past
services. Mitchell and Fields [21] explain that pension is a benefit provided to a worker
who goes on retirement upon reaching a prescribed age. Pension benefit is in the form of
regular or periodic payment from the time a worker goes on retirement until he or she
eventually dies [21]. Owing to the increased interest in pension management, scholars
have explained the concept of pension from the view points of a number of theories.
These theories aim at explaining the reason for joining pension schemes by employees
and how these pension schemes can improve employees’ quality of life after retirement
[22]. Some of these theories include the Social Exchange Theory and the Life Cycle
Theory on pension. The study adopts both theories as its conceptual foundation.
The theory of social exchange was developed by Homans [23]. The theory of social
exchange is a trade-off between two or more people for exchanging activity that is
rewarding or costly, intangible or tangible. This theory helps to determine if the reg-
ulatory body has devised appropriate mechanism in guaranteeing income security for
informal sector workers through contributions during active service. On the other hand,
the theory of life cycle which was developed by Modigliani and Brumberg [24],
premised the theory on that fact that individuals make prudent choices about their
spending habits at each stage of their lives which rely on the accessibility of resources
at their disposal [24]. The major idea of the life cycle theory is that, every worker tries
as much as possible to continue a stable life style which is an indication that people
normally do not save money in one period to use in another period but tries to maintain
494 O. Anku-Tsede
their consumption levels at every period [24]. Since the life cycle theory encourages
saving among workers, the study seeks to understand the extent to which informal
sector workers are willing to subscribe to the third-tier pension scheme and any
challenges hindering the progress of the pension scheme.
Pension management has a tendency to better adjust to formal conditions rather
than informal conditions, thereby reducing the rate of involvement by the informal
sector workers [3]. Therefore, informal sector workers and their respective families
attract a high propensity of falling prey to income insecurity during old age [9].
Globally, policy makers are making conscious efforts to establish and maintain pension
policies for the informal sector workforce to bridge the gap of income insecurity in old
age [14]. Recently, there has been a renewed interest for pension provision in various
economies owing to rapid advancement in the informal economy which is character-
ized by low income and poor condition of work [25]. This, therefore, indicates that the
informal sector continues to grow with several low-income earners who experiences
unfavorable working conditions as compared to the formal sector [14].
In a related study by Canagarajah and Sethuraman [25], the studies focused on the
associated hindrances of forming a comprehensive technique to social protection for the
informal sector and further argue that the slender concepts that characterized many
existing programs that “target” the informal sector needed to be expanded. This study
thus adopted current comprehensive methods by the World Bank to support the poor on
“Social Risk Management”. The finding of the study shows that to protect workforces
from the threat they face and then realize their unexploited potentials, there is the need
for the nation and institution (formal and informal) establishments, markets and
community organizations, individuals and households in meeting the arduous task of
providing social protection mechanism to these IS workers.
MacKellar [26] further explored knowledge of the numerous counties within Asia
in intensifying the extension of pension system to the IS. The study argues, using age
and growing informality within Asia, that a swift forward-looking response from
governments in Asia is essential to offer safety in contradiction of the danger of poverty
in old age. The risk is mainly grave in a situation of IS workers, since there is an
obstacle for reaching them through traditional formal-sector pension strategies.
Further, Adzawla, Baanni and Wontumi [16] explored factors that influence deci-
sions by informal sector workers in joining a pension scheme and their level of con-
tributions. The researchers used the Heckman approach to appraise the data obtained
from 150 IS workers in the Tamale metropolis. The findings of the study revealed
advancement in age, the single, the highly educated, highly depended and higher income
workers have a high likelihood of contributing to the informal sector pension scheme.
This research draws from the strength of existing literature to provide a holistic
analysis of the subject under investigation. Whilst some authors have concentrated on
some selected informal sector workers’ willingness to subscribe to pension scheme;
hindrances of forming a comprehensive pension scheme for informal sector workers;
knowledge of informal sector pension scheme and factors that influence decisions by
informal sector workers to join a pension scheme and their level of contribution [3, 9,
25, 26], this research employs a comprehensive approach that examines informal sector
pension provisions under the New Pensions Act. This study also includes pension
trustees, pension fund managers, pension custodians and the regulatory body.
1.2 Objectives
The study seeks to achieve the following objectives:
1. To highlight the benefits of the third-tier pensions scheme
2. To evaluate the adequacy of Ghana’s third-tier pension scheme in guaranteeing
retirement income security for the informal sector workers.
2 Methodology and Ethical Considerations
The study employs the qualitative approach to explore informal sector pension pro-
visions under the New Pensions Act and the position of the current three tier pension
scheme in providing adequate retirement income security for Ghanaian workers within
the informal sector. The qualitative approach provides a suitable approach against the
backdrop that the concept of pension among informal sector remains at an explorative
stage [3, 16]. The qualitative approach therefore affords an in-depth exploration of the
subject matter and position the research to achieve its objectives. Interviews and focus
group discussions were used as tools to explore and develop understanding of the
phenomenon. The study also adopted the phenomenology approach using both primary
and secondary data. Johnson and Christensen [27] view phenomenology as a
descriptive and interpretive research which focuses on lived experiences of participants.
Primary data was obtained through interviews and focus group discussions whilst
secondary data included information published in annual reports, National Pensions
Act, 2008, Act 766, Labour Act, 2003, Act 651, official publications, as well as,
website information of the entities under study.
The study population composed of four categories of respondents: The regulator,
which is the NPRA, the regulated comprising pension trustees, pension fund managers
and pension custodians and a broad section of workers within the informal sector. The
selection of these categories is because they are the principal stakeholders in pension
management within the informal sector. The choice is also informed by the role these
officials play in policy formulation and implementation, as well as, assisting in pension
delivery within the informal sector. There was also a cross-section of informal sector
workers in Ghana. Fraenkel and Wallen [28] posit that there is no defined answer to
what constitutes an acceptable or sufficient size for a sample. The sample size for the
study was eighty-six (86) participants out of the one hundred projected. This provides a
convenient and appropriate sample from which to draw valid conclusions and afford the
researcher a firm basis for generalization of the findings. The study used a combination
of the purposive, convenience and stratified sampling techniques in the selection of
informal sector workers within the population. To ensure validity of the data collected
and subjecting the data to viable test, a combination of both triangulation and
respondents’ validation was used.
Information gathered from the focus group discussions and interviews were tran-
scribed and discussed alongside the objectives of the study. The thematic analysis was
also adopted to assess the essential themes and ideas running through the transcribed
scripts. Braun and Clarke [29] describe thematic analysis as a qualitative analytic
496 O. Anku-Tsede
method for identifying, analyzing and reporting patterns within data, which slightly
organizes and describes the data set comprehensively and interprets various aspects of
the research subject.
The research took into account the following ethical considerations: permission
from authorities, right of confidentiality and respect for human rights. Permission was
initially sought from the various authorities and informal sector workers. As a social
principle, the study first obtained respondents’ consent and request for non-compulsory
participation before taking part in the study. Thus, participation was entirely optional
and not under coercion since the researcher is under obligation to respect the right,
dignity, and beliefs of individual respondents. Respondents were therefore offered with
exhaustive information on the study in addition to potential costs and benefits asso-
ciated with their participation. The integrity of secrecy and discretion were maintained,
with the obtained information treated as cumulative analysis. Hence, no participant was
identified by name. Respondents’ right to privacy, desire, voluntary participation and
respect for dignity were ensured. Finally, the ethics of beneficence requires the research
to be beneficial and useful to both participants and the larger society, and it for the
benefit of the participants and the society at large that the study was conducted.
3 Results and Discussions
The demographic characteristics of respondents based on age, gender, educational

level, marital status, number of years in trade and type of trade engaged in by the
informal workers are summarized in Table 1. Similar information concerning the
interviewees are also presented.
Table 1. Demographic characteristics of respondents

Demographic variables Frequency Percentage %
Age (in years)
20–30 23 26.7
31–40 26 30.2
41–50 22 25.6
51–60 15 17.5
Gender
Male 29 33.7
Female 57 66.3
Educational level
No Education 17 19.8
JHS 29 33.7
SHS 24 27.9
First Degree 13 15.1
Masters degree 3 3.5
(continued)
Demographic variables Frequency Percentage %
Marital status
Married 61 70.9
Single 25 29.1
Number of years in trade
Less than one year 6 7
1–5 16 18.6
6–10 14 16.3
11–15 19 22.1
16–20 8 9.3
21 and above 23 26.7
Type of trade engage in
Street and Food Vendors 43 50
Traders 22 25.6
Commercial Drivers 18 20.9
Officials 3 3.5
Total 86 100
Objective One: Benefits of the Third-Tier Pension Scheme

The views on the benefits of the third-tier pension scheme were examined from the
perspective of informal sector workers and experts. The result shows that almost all the
respondents are of the view that the third-tier pension scheme has enormous benefits. It
was discovered that the third-tier pension scheme is a flexible means of contributing
towards workers’ future. Through this scheme, workers are able to gain secured income
during old age. In this regard, an official from FES indicated:
“… through the third-tier pension scheme, the informal sector can be formalized which is one
of the main goals of the foundation. I think the informal sector pension scheme can provide
adequate retirement income because the authority will deliver as promise”.
To buttress the above statement from the informal sector foundation, it was dis-
covered that the foundation is making effort to formalize the informal sector since most
of the pension policy does not support the informal conditions. The study finding
affirms the assertion of Collins-Sowah, Kuwornu and Tsegai [3] that pension man-
agement could be better adopted and adjusted to formal conditions rather than informal
conditions. Further, based on the benefits inherent in the third-tier pension scheme an
official from PPT stated that:
“….. informal sector workers will be able to secure their future through retirement package
from the scheme because what is being done currently by both the regular and industry player
are commendable, however, a lot more can be done to improve the system.”
As provided by Act 766, the third-tier pension scheme allows subscribers to enjoy
16.5% tax benefits on their income from which the contributions are made. In addition,
it was discovered that investing into the third-tier pension scheme by informal sector
498 O. Anku-Tsede
workers in accordance with Act 766 provides lump sum benefits from the personal
savings account; monthly or quarterly pensions from the retirement account; survivors’
benefits, as well as, invalidity benefits. The third-tier pension scheme puts the informal
sector worker or subscriber first. This indicates that the worker is the key player of
which the scheme progresses. Therefore, providing better welfare system for informal
sector workers will enhance their interest in saving more. This finding is evident in the
assertion of the life cycle theory on pension by Modigliani and Brumberg [24] which
depicts an idea of utility maximization throughout one’s lifetime. This suggests that
saving is a significant component of the scheme. Hence opportunities are therefore
created for informal sector workers to save in order to benefit from the scheme.
Objective Two: Adequacy of the TTCP Scheme in Guaranteeing Retirement

Income Security for the Informal Sector Workers
This study objective was advanced to discover the suitability of the third-tier
pension scheme to guarantee retirement income security for informal sector workers.
Questions were posed to ascertain the ability of this pension scheme to provide ade-
quate retirement income security for the informal sector workers. Two themes were
identified: (i) safeguarding income of contributors and (ii) sufficiency of the third-tier
pension scheme.
(i) Safeguarding income of contributors
The study examined how contributions from subscribers would be protected under the
contemporary pension framework. The study thus examined the views from the offi-
cials, as well as, secondary data. It was discovered that various mechanisms had been
put in place to protect the incomes from contributors. The study discovered that the
contributions from informal sector workers are managed by qualified experts such as
trustees, and that NPRA has put in place measures in the form of monitoring and
supervising pension entities such as trustees, fund managers and pension fund custo-
dians. In this regard, an official from NPRA asserted that:
“…. We embark on activities like unannounced visits to trustees and other regulated entities to
make sure that all these entities are not in breach of laid down guidelines”.
Section 7 of Act 766 mandates the regulating body to undertake risk management
through strict enforcement of the investment guidelines and regular monitoring of
activities of trustees and other service providers to secure pension funds for contrib-
utors. It was discovered that for the authority to execute its mandate under Act 766,
NPRA embarks on onsite inspections at two levels in the form of pre-licensing and
post-licensing [20]. In pre-licensing inspection, the premises of prospective corporate
trustees are inspected to ascertain their readiness to provide pension administration
services. On the other hand, post-licensing inspection is conducted on pre-existing
service providers to monitor and ensure continuous compliance with the laws, regu-
lations and guidelines of the industry. Finally, to protect the interest of contributors,
NPRA has moved from the compliance-based approach to supervision and conse-
quently to more effective risk-based supervision approach [20].
According to Act 766, the key objective of the scheme is to afford pension benefits
for the purpose of ensuring retirement income security for workers and also to make
sure that workers receive retirement and associated benefits as and when required. The
result shows that the regulatory body attempts to invest funds from contributors into a
permissible venture such as government treasury bills, bonds and stocks while avoiding
non-permissible ventures such as investing into microfinance companies. In investing
contributions, Section 7 of Act 766 has given authority to NPRA to ensure compliance
by all regulated bodies. With this, workers are assured of their retirement income
security when due. Regarding the ability of the present pension framework to safeguard
income of contributors, an official from FES affirmed:
“… I think the third-tier pension scheme will be able to provide adequate retirement income
because NPRA will deliver as promised and the pension scheme has legal backings in which
workers can sue and be sued in case there is a breach from either party”.
As per the statement, a review of NPRA report 2015 indicates that in the year 2015,
NPRA was involved in the cases between Attorney-General vs. Health Service
Workers Union and 12 others; and Judicial Service Staff Association of Ghana vs. 1.
Attorney-General; 2. National Pensions Regulatory Authority and 3. Fair Wages and
Salaries Commission. These cases as per the report were solved amicably and conse-
quently settled out of court. The finding indicates that funds contributed by workers
towards pensions are adequately secured having strong legal backings to avoid loss of
income during retirement.
The result further indicates that stringent mechanisms have been developed by
pension managers to safeguard the interest of workers with regards to their contribu-
tions. As per Act 766, the regulatory body has adequately provided for the needs of all
informal sector workers to take part in the third-tier pension scheme. Further, it was
discovered that informal sector workers may join the scheme through two major
accounts in the form of personal saving account and retirement account. Section 107 of
Act 766 declared that:
“…. A personal pension scheme is any scheme to which the contributor contributes personally
to provide benefit based on a defined contribution formula in the form of pensions or otherwise
payable on death or retirement to or in respect of persons covered under Section 107 of Act,
766.
The Act provides that an informal sector worker may join the scheme by sub-
scribing to personal savings to have secured income during retirement. It is interesting
to note that, Section 109 of Act 766 affirmed:
… “The proceeds of the retirement account shall only be paid on the retirement of the con-
tributor as monthly or quarterly pensions”.
In accordance with Act 766, it can be ascertained that the third-tier pension scheme
is highly open to informal sector workers and provides greater opportunities of raising
the living standard of informal sector workers who have subscribed to the scheme.
(ii) Sufficiency of the TTCP scheme
This section examines how the TTCP scheme will be able to provide sufficient income
for workers during retirement. The result shows that sufficiency of the TTCP scheme is
500 O. Anku-Tsede
dependent on the amount of money contributed by workers and the length of period
contributed. For instance, if a worker contributes more within a longer number of years,
the worker will be able to receive more retirement income, however, if the amount
contributed is small in addition to lesser number of years, then that worker is likely to
receive a benefit that commensurate the amount contributed during active service. This
shows that the sufficiency of the third-tier pension scheme depends to some extent, on
workers’ level of contribution and commitment to the scheme. Therefore, for workers
to have enough income during retirement, workers should be willing to devote to the
scheme in terms of amount contributed during active working years. Based on this
premise, an official from NPRA averred:
“… The third-tier pension scheme has the ability to prevent poverty during old age because Act
766 has made provisions to ensure retirement income security. This scheme will, however, be
able to stand the test of time if workers are committed to play their roles by contributing to the
scheme.
It was further revealed that to ensure sufficiency of income during retirement,

pension managers are mandated to invest workers’ contributions in ventures permitted
by NPRA [20]. Information obtained from NPRA report [20] indicates that workers’
contributions are invested in government bonds, bills, debentures, ordinary shares and
real estate investment which yield returns on amount contributed by subscribers. This
further indicates that monies paid by subscribers during their working years are most
likely to yield extra income which will help provide sufficient retirement income for
workers. Consequently, no service provider is allowed to invest subscribers’ funds into
a venture that will negatively affect contributors’ funds. In this regard, an official from
NPRA indicated that:
“… Since the object of the scheme is to provide pension benefits to ensure retirement income
security for workers and ensure that every worker receives retirement and related benefits as
and when due, the authority invests the funds from contributors into a permissible venture such
as government treasury bills, bonds and stocks while avoiding non-permissible ventures such as
investing into microfinance companies”.
From the statement, the authority works with trustees who are appointed. After
background checks, the authority monitors the trustees through various mechanisms
such as on-site inspection to ensure that the funds of contributors are well invested and
protected. This fulfils the role of NPRA as stipulated in Section 7 of Act 766. This
means that adequate provision has been made by the regulatory body to provide
adequate retirement income package for all Ghanaian workers through the third-tier
contributory pension scheme.
4 Conclusion
Even though Ghana has made significant progress in informal sector pension inclusion
under the current pension reform, there is low patronage by informal sector workers.
This means that awareness level is limited, and efforts have not been far- reaching.
Further, most informal sector workers are not well-informed on the provisions in the
third-tier pension scheme. This is principally due to lack of trust in the trustees and
their long-term pension products. To ensure adequacy of the third-tier contributory

pension scheme, the regulatory body invest funds from contributors into some per-
missible ventures such as treasury bills, real estate development, bonds and stocks
while avoiding non-permissible ventures such as investing into microfinance compa-
nies. The NPRA through trustees and other agencies extend pension coverage through
awareness creation and public education, marketing campaigns and the engagement of
trade unions as mechanisms used to extend pension coverage to the informal sector.
Evidently, some progress has been made under the current pension reform, but the
challenges are substantial enough to impede the goal of income security for all workers
especially those within the informal sector.
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Construction Ergonomics: Temporary Works’
Manufacturers’ Perceptions and Practices
John Smallwood(&)
Department of Construction Management, Nelson Mandela University,

PO Box 77000, Port Elizabeth 6031, South Africa
john.smallwood@mandela.ac.za
Abstract. Temporary works designers influence construction ergonomics

directly and indirectly. The direct influence is because of design, details, and
method of connecting, and depending upon the type of procurement system,
supervisory, and administrative interventions. The indirect influence is because
of the type of procurement system used, pre-qualification, project duration,
partnering, and the facilitating of pre-planning. A questionnaire survey was
administered among attendees attending an in-house support work designer and
supplier ‘designing for construction ergonomics’ workshop. Findings include: a
range of temporary works design related aspects impact on construction ergo-
nomics, and the respondents’ organisation considers/refers to such aspects fre-
quently, and on a range of design, procurement, and construction occasions.
Experience predominates in terms of how ergonomics knowledge was acquired.
It is concluded that respondents contribute to construction ergonomics, but there
is potential for enhanced contributions. Recommendations include that tertiary-
built environment education should address temporary works design and con-
struction H&S and ergonomics, temporary works design standards should
highlight designing for construction H&S and ergonomics, and practice notes,
and continuing professional development (CPD) should be evolved.
Keywords: Construction Designers Ergonomics Temporary works
1 Introduction
The definition of ‘designer’ in the South African Construction Regulations [1] includes,
inter alia, a competent person who designs temporary work, including its components.
According to the South African Construction Regulations [1], designers must take
cognisance of ergonomic design principles during the design stage to minimise ergo-
nomic related hazards in all phases of the life cycle of a structure. This alludes to the
term ‘designing for safety’, which Behm [2] defines as “The consideration of con-
struction site safety in the preparation of plans and specifications for construction
projects.” Thorpe [3] in turn contends that design is an important stage of projects, as it
is at this stage that conceptual ideas are ideally converted into constructable realities.
Furthermore, ‘designing for H&S’ is one of the designing for constructability princi-
ples. Thorpe [3] further states that designing for safety is one of a range of consider-
ations that need to be balanced simultaneously during design.

https://doi.org/10.1007/978-3-030-20145-6_49
504 J. Smallwood
The Construction Regulations and international literature highlight the relevance of

designing for H&S and ergonomics, which resulted in a study that was conducted
among staff of a major multinational temporary works designer and supplier, the
objectives being to determine relative to their organisation and personally:
• Importance of ergonomics during seven temporary works stages of projects;
• Frequency at which construction ergonomics is considered on various occasions
and relative to various temporary works design related aspects;
• Extent to which various temporary works design related aspects impact on con-
struction ergonomics, and
• Rating, and source of ergonomics knowledge.
2 Review of the Literature
2.1 Health and Safety Legislation and Recommendations Pertaining

to Designers
Prior to the promulgation of the Construction Regulations, all designers were required
to address H&S, as in terms of Section 10 of the Occupational H&S Act [4] designers
are allocated the responsibility to ensure that any ‘article’ is safe and without risks
when properly used. This includes buildings and structures. In terms of the South
African Construction Regulations [1], clients and designers, including temporary works
designers, have responsibilities with respect to construction H&S and ergonomics.
Clients are required to, inter alia, prepare an H&S specification based on their
baseline risk assessment (BRA), which is then provided to designers. They must then
ensure that the designer takes the H&S specification into account during design, and
that the designers carry out their duties in terms of Regulation 6 ‘Duties of designers’.
Thereafter, clients must include the H&S specification in the tender documentation,
which in theory should have been revised to include any relevant H&S information
included in the designer report as discussed below.
Designers in turn are required to, inter alia: consider the H&S specification; submit
a report to the client before tender stage that includes all the relevant H&S information
about the design that may affect the pricing of the work, the geotechnical-science
aspects, and the loading that the structure is designed to withstand; inform the client of
any known or anticipated dangers or hazards relating to the construction work, and
make available all relevant information required for the safe execution of the work
upon being designed or when the design is changed; modify the design or make use of
substitute materials where the design necessitates the use of dangerous procedures or
materials hazardous to H&S, and consider hazards relating to subsequent maintenance
of the structure and make provision in the design for that work to be performed to
minimise the risk. To mitigate design originated hazards, requires hazard identification
and risk assessment (HIRA) and appropriate responses, which process should be
structured and documented.
Construction Ergonomics 505
In terms of the Draft Ergonomics Regulations [5] ‘5.1 Designers of machinery,

equipment or articles for use at work, must: eliminate ergonomic risk factors from the
design, or where this is not reasonably practicable, must minimise the ergonomic risk
factors that workers may be exposed to in each possible use of the items; provide
information regarding the ergonomic risk factors identified and the controls to the
manufacturer, so that the manufacturer may take action where reasonably practicable to
eliminate or minimise residual ergonomic risk factors, and provide information to the
manufacturer for potential users involved in each phase of the lifecycle regarding the
ergonomic risk factors that he/she could not eliminate, and the conditions for safe use.
Although these are draft regulations, they are not onerous, and merely require design
HIRAs, and appropriate responses.
Furthermore, the International Labour Office (ILO) [6] as early as 1992 recom-
mended that designers should: receive training in H&S; integrate the H&S of con-
struction workers into the design and planning process, and not include anything in a
design which would necessitate the use of dangerous structural or other procedures or
hazardous materials which could be avoided by design modifications or by substitute
materials.
3 Research
A questionnaire survey was administered among staff of a major international tem-

porary works designer and supplier attending an in house ‘designing for construction
ergonomics’ workshop presented by the author.
A previous study conducted among engineers in South Africa to determine their
perceptions and practices with respect to construction H&S investigated the: frequency
at which construction H&S is considered on various occasions and relative to various
design related aspects; extent to which various design related aspects impact on con-
struction H&S; source of H&S knowledge, and the potential of various aspects to
contribute to an improvement in construction H&S [7]. The study reported on con-
stitutes a replication of this prior study, which study in turn constitutes the origin of the
occasions, aspects, and sources.
Table 1 indicates the importance of ergonomics to respondents’ organisations
during seven temporary works stages of projects in terms of percentage responses to a
scale of 1 (not important) to 5 (very important), and a MS ranging between 1.00 and
5.00. It is notable that the MSs are all above the midpoint of 3.00, which indicates that in
general the respondents can be deemed to perceive the parameters as important to their
organisation. However, given that the MSs for all the parameters are >4.20 5.00, the
respondents can be deemed to perceive them to be between more than important to very
important/very important. It is notable that supply of equipment is ranked first and
detailed design (Stage 3) second. Concept and feasibility (Stage 2), and project initiation
and briefing (Stage 1) are ranked third and fourth respectively.
506 J. Smallwood
Table 1. Importance of ergonomics to respondents during seven temporary works stages of

projects.
Stage Response (%) MS R
Unsure Not…………………………Very
1 2 3 4 5
Supply of equipment 8.7 0.0 0.0 4.3 26.1 60.9 4.62 1
Detailed design 4.3 0.0 0.0 8.7 26.1 60.9 4.55 2
Concept and feasibility 13.0 0.0 0.0 13.0 17.4 56.5 4.50 3
Project initiation and briefing 17.4 0.0 0.0 8.7 26.1 47.8 4.47 4
Construction documentation and 8.7 0.0 4.3 4.3 39.1 43.5 4.33 5
management
Project close out 13.0 0.0 4.3 17.4 13.0 52.2 4.30 6
Tender documentation and 13.0 0.0 0.0 13.0 39.1 34.8 4.25 7
procurement
Table 2 presents the frequency at which the respondents’ organisation considers or

refers to construction ergonomics on fourteen occasions in terms of percentage
responses to a frequency range, never to always, and a MS ranging between 1.00 and
5.00. It is notable that all the MSs are above the midpoint of the range, namely 3.00,
which indicates the consideration of or reference to construction ergonomics on these
occasions can be deemed to be prevalent.
It is notable that 6/14 (42.9%) occasions have MSs >4.20 5.00 – between often
to always/always. 3 are upstream, 1 is midstream, 1 is downstream, and 1 is triple-
stream. 7/14 (50%) of the occasions have MSs >3.40 4.20 – between sometimes to
often/often. 3 are ‘upstream’, 1 is ‘midstream’, 2 are ‘downstream’, and 1 is triple-
stream. Only one MSs is >2.60 3.40 – between rarely to sometimes/sometimes,
namely discussion of H&S plan, which is midstream.
Table 2. Frequency at which respondents’ organisation considers/refers to construction

ergonomics on various occasions.
Occasion Response (%) MS Rank
Unsure Never Rarely Sometimes Often Always
Design (U) 4.3 0.0 0.0 0.0 30.4 65.2 4.68 1
Detailed design (U) 4.3 0.0 0.0 0.0 39.1 56.5 4.59 2
Discussions with the principal 4.3 0.0 0.0 0.0 52.2 43.5 4.45 3
contractor (U, M, D)
Site visits/inspections (D) 4.3 0.0 0.0 8.7 39.1 47.8 4.41 4
Working drawings (U) 4.3 0.0 4.3 8.7 34.8 47.8 4.32 5
Equipment delivery (M) 4.5 0.0 9.1 0.0 40.9 45.5 4.29 6
Client (Contractor) meetings 8.7 0.0 4.3 13.0 34.8 39.1 4.19 7
(U, M, D)
Project progress meetings (D) 13.0 0.0 0.0 21.7 43.5 21.7 4.00 8
Design coordination meetings (U) 9.1 0.0 13.6 4.5 40.9 31.8 4.00 9
(continued)
Occasion Response (%) MS Rank
Project close out reports (D) 26.1 0.0 8.7 13.0 30.4 21.7 3.88 10
Deliberating project duration (U) 8.7 4.3 4.3 17.4 39.1 26.1 3.86 11
Preparing project documentation (M) 4.3 4.3 4.3 26.1 43.5 17.4 3.68 12
Constructability reviews (U) 27.3 0.0 4.5 40.9 9.1 18.2 3.56 13
Discussion of H&S plan (M) 14.3 4.8 19.0 28.6 9.5 23.8 3.33 14
Table 3 presents the frequency at which the respondents’ organisation considers/

refers to construction ergonomics relative to fifteen temporary works design related
aspects, in terms of percentage responses to a frequency range, never to always, and a
MS ranging between 1.00 and 5.00. It is notable that all the MSs are above the
midpoint of 3.00, which indicates consideration of/reference to H&S relative to these
temporary works design related aspects can be deemed to be prevalent.
It is notable that 5/15 (33.3%) MSs fall within the range >4.20 5.00 – between
often to always/always, and 9/15 (60%) MSs are >3.40 4.20 – between sometimes to
often/often. The remaining MS, which is virtually in the upper range, is >2.60 3.40 –
between rarely to sometimes/sometimes.
The top six ranked occasions predominate, namely method of connecting, method
of fixing, details, specification, mass of components, and design of temporary works
(general).
Table 3. Frequency at which respondents’ organisation considers/refers to construction

ergonomics relative to various temporary works design related aspects.
Problem Response (%) MS Rank
Method of connecting 8.7 0.0 0.0 8.7 43.5 39.1 4.33 1
Method of fixing 8.7 0.0 0.0 8.7 43.5 39.1 4.33 2
Details 4.3 0.0 4.3 13.0 26.1 52.2 4.32 3
Specification 8.7 0.0 4.3 13.0 30.4 43.5 4.24 4
Mass of components 8.7 0.0 4.3 17.4 21.7 47.8 4.24 5
Design of temporary works (general) 4.5 0.0 4.5 13.6 36.4 40.9 4.19 6
Surface area of components 8.7 0.0 8.7 13.0 34.8 34.8 4.05 7
Finish of components 4.3 0.0 4.3 17.4 43.5 30.4 4.05 8
Elevations 4.3 0.0 8.7 21.7 26.1 39.1 4.00 9
Position of components 8.7 0.0 8.7 17.4 30.4 34.8 4.00 10
Plan layout 4.3 0.0 17.4 8.7 26.1 43.5 4.00 11
Sectional area of components 13.0 0.0 8.7 17.4 30.4 30.4 3.95 12
Site location 8.7 4.3 4.3 26.1 34.8 21.7 3.71 13
Edge (s) of components 17.4 0.0 17.4 17.4 26.1 21.7 3.63 14
Texture of components 21.7 4.3 17.4 21.7 13.0 21.7 3.39 15
508 J. Smallwood
Table 4 indicates the perceived impact of fifteen temporary works design related
aspects on construction ergonomics, in terms of percentage responses to ‘does not’ and
a scale of 1 (minor) to 5 (major), and a MS ranging between 0.00 and 5.00. Given that a
‘does not’ option was provided, the scale effectively consists of six points, and hence
the MS range. It is notable that all fifteen MSs are above the midpoint of 2.50, which
indicates the respondents perceive the design related aspects to impact on construction
ergonomics.
It is notable that 7/15 (46.7%) MSs are >4.17 5.00 - between a near major to
major impact/major impact. The remaining 8/15 (53.3%) aspects’ MSs are
>3.34 4.17, which indicates that they have between an impact and a near major
impact/near major impact on construction ergonomics.
Table 4. Extent to which various temporary works design related aspects impact on
construction ergonomics.
Aspect Response (%) MS R
Unsure Does Minor…………………….. Major
not 1 2 3 4 5
Details 4.3 0.0 0.0 4.3 4.3 30.4 56.5 4.45 1
Method of connecting 8.7 0.0 0.0 0.0 13.0 26.1 52.2 4.43 2
Method of fixing 8.7 0.0 0.0 0.0 13.0 26.1 52.2 4.43 3
Specification 8.7 0.0 0.0 0.0 17.4 30.4 43.5 4.29 4
Plan layout 4.3 0.0 0.0 4.3 13.0 30.4 47.8 4.27 5
Design of temporary 4.3 0.0 0.0 8.7 4.3 34.8 47.8 4.27 6
works (general)
Mass of components 4.3 0.0 0.0 0.0 26.1 21.7 47.8 4.23 7
Elevations 8.7 0.0 0.0 4.3 17.4 30.4 39.1 4.14 8
Surface area of 13.0 4.3 0.0 4.3 21.7 21.7 34.8 3.85 9
components
Finish of components 9.1 4.5 0.0 4.5 22.7 31.8 27.3 3.75 10
Site location 8.7 8.7 0.0 4.3 17.4 26.1 34.8 3.71 11
Position of components 13.0 4.3 8.7 0.0 17.4 26.1 30.4 3.65 12
Sectional area of 17.4 4.3 8.7 0.0 17.4 26.1 26.1 3.58 13
components
Edge (s) of components 21.7 4.3 4.3 4.3 21.7 17.4 26.1 3.56 14
Texture of components 8.7 4.3 4.3 4.3 34.8 21.7 21.7 3.43 15
Experience (39.1%) predominates in terms of respondents’ source of ergonomics

knowledge, followed by workshops (26.1%), tertiary education (17.4%), magazine
articles (13.1%), and other (13.1%). Post graduate qualifications were only identified
by 4.1% of respondents, and conference papers, CPD seminars, journal papers, and
practice notes by no respondents. Respondents’ source of ergonomics knowledge is
informal as opposed to formal.
Table 5 indicates the respondents’ self-rating of their knowledge of ergonomics,
construction ergonomics, and ‘designing for ergonomics’ skills in terms of percentage
responses to a scale of 1 (limited) to 5 (extensive), and a MS ranging between 1.00 and
5.00. Given that the MSs are 3.00, the knowledge can be deemed to be limited as
opposed to extensive. However, all three MSs are >2.60 3.40 – less than average to
average/average.
Table 5. Respondents’ self-rating of their knowledge with respect to ergonomics aspects.

Aspect Response (%) MS R
Unsure Limited……………….
Extensive
1 2 3 4 5
Ergonomics 4.3 21.7 0.0 56.5 13.0 4.3 2.77 1
Designing for construction ergonomics 4.3 21.7 8.7 43.5 13.0 8.7 2.77 2
Construction ergonomics 4.3 17.4 8.7 56.5 8.7 4.3 2.73 3
4 Conclusions
Construction ergonomics is more important during the supply of equipment, detailed

design, concept and feasibility, and project initiation and briefing temporary works
stages of projects, than the midstream and downstream stages of construction docu-
mentation and management, project close out, and tender documentation and pro-
curement. Therefore, it can be concluded that the respondents’ organisation
understands and appreciates that ergonomics can be influenced more during the
upstream than downstream stages. This is underscored by the extent the respondents’
organisation could influence construction ergonomics during the detailed design,
supply of equipment, and concept and feasibility temporary works stages of projects.
The respondents’ organisation does consider construction ergonomics on various
occasions, however, more so during upstream phases than mid-stream phases, design
(upstream), detailed design (upstream), and discussions with the principal contractor
(upstream, midstream, downstream). Therefore, it can be concluded that the cited
importance thereof does manifest itself. Furthermore, the MSs relative to the top 6/14
(42.9%) indicate a frequency of often to always/always.
The respondents’ organisation considers/refer to construction ergonomics relative
to fifteen temporary works design related aspects. The top five (33.3%) aspects, namely
method of connecting, method of fixing, details, specification, and mass of components,
have MSs, which indicate a frequency of often to always/always. The frequency rel-
ative to mass of components is notable due to the manual handling of components, and
relative to the other aspects, which impact on construction ergonomics.
Respondents do appreciate the extent to which various temporary works design
related aspects impact on construction ergonomics in that they maintain 7/15 (46.7%)
aspects have between a near major to major impact/major impact, and 8/15 (53.3%) an
impact to near major impact/near major impact thereon.
510 J. Smallwood
Given the sources of respondents’ ergonomics knowledge it can be concluded that

the sources are more informal than formal. It can also be concluded that tertiary built
environment education and the related professions are not addressing ergonomics to the
extent that they should. These conclusions are reinforced by the respondents’ ‘below
average’ self-rating of their knowledge of ‘ergonomics’, ‘designing for construction
ergonomics’, and ‘construction ergonomics’ skills.
5 Recommendations
Tertiary built environment education should address temporary works design and
construction H&S and ergonomics and highlight the role thereof in overall project
performance. Furthermore, designing for construction H&S and ergonomics, temporary
works design included, should be introduced and more importantly, embedded in
tertiary built environment education programmes.
Temporary works design standards should highlight designing for construction
H&S and ergonomics, and practice notes, and continuing professional development
(CPD) should be evolved. The Ergonomics Regulations should be promulgated the
soonest.
References
1. Republic of South Africa: No. R. 84 Occupational Health and Safety Act, 1993 Construction
Regulations 2014. Government Gazette No. 37305. Pretoria (2014)
2. Behm, M.: An Analysis of Construction Accidents from a Design Perspective. The Center to
Protect Workers’ Rights, Silver Spring (2006)
3. Thorpe, B.: Health and Safety in Construction Design. Gower Publishing Limited, Aldershot
(2006)
4. Republic of South Africa: Government Gazette No. 14918. Occupational Health & Safety
Act: No. 85 of 1993. Pretoria (1993)
5. Republic of South Africa: Draft Ergonomics Regulations No. 40578. Pretoria (2017)
6. International Labour Office (ILO): Safety and health in construction. ILO, Geneva (1992)
7. Smallwood, J.J.: The influence of engineering designers on health and safety during
construction. J. South Afr. Inst. Civil Eng. 46(1), 2–8 (2004)
Case Study of Science Communication
in Ergonomics: Introduction
of ErgonomicThon Workshop
Yasuyuki Yamada1,2(&) and Takeshi Ebara3

1
1-1, Hiragagakuendai, Inzai, Chiba, Japan
yayamada@juntendo.ac.jp
2
School of Health and Sports Science, Juntendo University,
1-1, Hiragagakuendai, Inzai, Chiba, Japan
3
Graduate School of Medical Sciences, Nagoya City University,
Nagoya, 1, Kawasumi, Mizuho-cho, Mizuho-ku, Nagoya, Japan
ebara@med.nagoya-cu.ac.jp
Abstract. To progress a science communication (SciCom) in the field of

ergonomics, this study organized the project of “ErgonomicThon.” It was an
ergonomics version of a kind of the Ideathon or Hackathon famous for brain-
storming events. This case study introduced the first workshop of Ergonomic-
Thon that was the special program to share useful research findings about
disaster and evacuation behavior. Theme discussed in the program was the
human behavior under emergency evacuation. The final goal of this program
was sharing the ergonomic perspective of “4M (Man–Machine–Media-
Management)” to utilize disaster risk management. The main program was
group discussion and presentation to create new ideas about how stimulate
appropriate human behavior under serious evacuation with sharing each expe-
rience. According to the results of questionnaire survey, many participants
satisfied the ErgonomicThon workshop. Simultaneously, this study lead three
suggestion to increase satisfaction levels among participants in the future
challenge; (1) Localization of SciCom guideline for ergonomics, (2) Selection of
academic topics for SciCom, and (3) Development of the specific guideline for
short time event.
Keywords: Science communication Earthquake disaster ErgonomicThon

Ergonomics Risk management
1 Introduction
Science communication (SciCom), referred to the use of appropriate skills, media,

activities and dialogue to produce one or more of the following personal responses to
science: awareness, enjoyment, interest, opinion-forming and understanding [1], was
practical approach to maximize the utility of academic findings. For instance, scientists
and academic societies can play an important role to reduce a damage and loss of life
due to earthquake by the SciCom sharing study findings of earthquake disaster with

https://doi.org/10.1007/978-3-030-20145-6_50
512 Y. Yamada and T. Ebara
general public. Actually, the failure of the SciCom became to be considered as a risk
impairing performances of disaster response and safety emergency evacuation after the
earthquake off Sumatra, Indonesia, and the Indian Ocean tsunami was occurred in
2004 [2].
Since Japan is an earthquake-ridden country, Japanese researchers have created a
large number of science papers. Even restricting only to the psychological studies of
the earthquake disaster, approximately 800 literatures have been published from the
year of the Great Hanshin-Awaji Earthquake in 1995 to 2019 [3]. Focusing on the
publish activity, accumulation of science papers was increased after the Great East
Japan Earthquake. Namely, there were enough academic information about earthquake
disaster to share with general public by SciCom.
On the other hand, the SciCom has not been fully spread in Japan. Although
government has acknowledged the necessity of the SciCom, the number of Japanese
academic literatures of SciCom has decreased from a peak in 2007 [4]. Consequently,
the SciCom for earthquake disaster was not progressed.
For the contribution to solve this issue in the field of ergonomics, we organized an
original SciCom project named “ErgonomicThon” which was coined from the word
“ergonomics” and the word “marathon.” The ErgonomicThon was an ergonomics
version of a kind of the “Ideathon” or “Hackathon” famous for brainstorming events
e.g. [5]. This case study aimed to introduce the first event of ErgonomicThon with key
points for event management on the basis of the practical guideline for SciCom [6] and
to discuss about the future issues in ergonomic field.
2 Methods
In 2018, the first event of the ErgonomicThon was held as part of official program of
the annual Meeting of Tokai branch, Japan Ergonomics Society. Participants were
elementary learners of ergonomics including graduate students and young researchers.
This program was designed and progressed by two facilitators and five staff members
who were researchers in the field of ergonomics based on the guideline of SciCom [6].
A total of 34 persons (19 participants and 14 observers) was participated. A ques-
tionnaire about this program was distributed to them. A theme discussed was the
human behavior under emergency evacuation. The final goal of this program was
sharing the ergonomic perspective of “4M (Man–Machine–Media-Management)” to
utilize disaster risk management. In this program, participants experienced short lec-
ture, individual work, group work and presentation to create new ideas about how
stimulate appropriate human behavior under serious evacuation with sharing each
experience (Table 1). After performing these creative tasks, a utilization of the 4M
framework was suggested. Finally, we conducted to a questionnaire survey for the
evaluation of performance and discussion of future issues.
Case Study of Science Communication in Ergonomics 513
Table 1. Program of ErgonomicThon workshop.

Time (min) Contents
0–5 Introduction with ice-breaking
5–15 Short lecture: What is ErgonomicThon?
15–35 Individual work: What is the best approach to arouse genuine evacuation
behavior?
35–55 Group work: Sharing, brushing-up and selection of good ideas
55–70 Presentation: Sharing ideas and experiences about evacuation behavior
70–80 Short lecture: How utilize the ergonomic framework of 4M?
80–90 Commendation and feedback
3 Results
3.1 Approaches to Learning Traits

On the basis of the SciCom guideline, the facilitators designed the ErgonomicThon
program to cope with participants’ learning traits: visual, aural, read/write and
kinaesthetic (Table 2). To approach the visual trait, the facilitators frequently used
infographics in the short lecture. As consideration for the aural trait, facilitators showed
easy-to-understand examples and designed conversable environment from ergonomic
perspectives. To cope with the read/write trait, the stickies and original idea sheets were
distributed to the participants. To stimulate the kinaesthetic trait, active learning style
was adopted.
3.2 Results of Questionnaire Survey

According to these results of questionnaire survey, many participants generally satis-
fied with the ErgonomicThon program. The percentages of participants satisfied with
“interest & concerns,” “creation of idea” and “group work” were 100%, 87.9% and
81.8%, respectively. Moreover, their responses revealed the needs of ErgonomicThon
dealing with following related topics; elderly person = 54.5%, safety = 42.4%, product
development = 36.4%, marketing research = 27.3%, education = 27.3%, occupational
health = 21.2%, human = 15.2% and data analysis = 15.2%. Moreover, they answered
one-hour event was the best for ErgonomicThon; one-hour event = 66.7%, half-day
event = 24.2%, one-day event = 6.1%, two-day event = 3.0%.
514 Y. Yamada and T. Ebara
Table 2. Approaches to participants’ learning traits in ErgonomicThon workshop.
Learning Traits Approaches to Learning Traits

･ Presentation using slide-show.
･ Showing actual disaster prevention guidebooks.
･ Insert of infographics in slide-show presentation.
Visual
･ Ice-breaking to create a relaxed atmosphere.

･ Simple, short-time, easy-to-understand and humorous lecture.
･ Design of meeting space to activate mutual communication.
Aural
･ Distribution of stickies and vellum papers to promote group discussion.

･ Distribution of idea-sheet to understand how to utilize framework of 4M.
Read/write
･ Design of active learning style program.

･ Sharing the experience of disaster and evacuation behavior through group
work and presentation.
Kinaesthetic
Case Study of Science Communication in Ergonomics 515
4 Discussion
This case study introduced the first challenge of ErgonomicThon workshop. For the
next challenge, we tried to make three suggestions. First suggestion was a localization
of SciCom guideline for ergonomics [6]. Through the event management, the practical
guideline of SciCom was useful. Thanks to this guideline, we could cope with par-
ticipants’ learning traits and increased their satisfaction levels. Additionally, we
believed that a localization of SciCom guideline for ergonomics enabled to increase
efficiency, performance and satisfaction. Second suggestion was selection of academic
topics for SciCom. This first event restricted the topic of evacuation behavior after
disaster and introduced the theory of 4M. Although this theme setting was appropriate
to communicate disaster science, there were many attractive topics and study findings
in the field of ergonomics. Hence, we recommended to use other topics such as elderly
person, safety and product development in the future events. Final suggestion was
development of the specific guideline for short time event. Participants preferred one-
hour to half-day events, future events should be designed within three hours. We also
believe these efforts connect with the social contribution by ergonomics.
Acknowledgments. This work was supported by JSPS KAKENHI Grant Number 18K02246.
References
1. Burns, T.W., O’Connor, D.J., Stocklmayer, S.M.: Science communication: a contemporary
definition. Public Understand. Sci. 12, 183–202 (2003)
2. Dickson, D.: Tsunami disaster: a failure in science communication (2005). https://www.scidev.
net/global/cooperation/editorials/tsunami-disaster-a-failure-in-science-communicati.html
3. Yamada, Y., Ebara, T., Yanagawa, Y., Matsukawa, T., Mizuno, M.: Systematic review of
earthquake disaster studies for science communication: focusing on psychological literatures
in Japan. In: Abstract of the 29th China Korea Japan Conference on Occupational Health.
(2019, in press)
4. Yamada, Y., Yanagawa, Y., Mizuno, M., Matsukawa, T., Kai, M., Ebara, T.: Trends of
science communication study in Japan: Findings of systematic review. In: Abstract of the 47th
Human Ergology Society EAST Japan Regional Conference. 22 (2018). (in Japanese)
5. Bond, R.R., Mulvenna, M.D., Finlay, D.D., Martin, S.: Multi-faceted informatics system for
digitising and streamlining the reablement care model. J. Biomed. Inform. 56, 30–41 (2015)
6. Bowater, L., Yeoman, K.: Science Communication: A Practical Guide for Scientists. Wiley,
Hoboken (2012)
Safety Training and Occupational
Accidents
A Hazard Analysis of a Gas-Fired GMH8
Goodman Furnace
Sarah Poelman and J. P. Purswell(&)
Department of Industrial Engineering, CSU-Pueblo, 2200 Bonforte Blvd,

Pueblo, CO 81001, USA
{sm.poelman,jerry.purswell}@csupueblo.edu
Abstract. A safety analysis of an industrial gas-fired furnace is presented. The

analysis includes a discussion of prior injury data, a preliminary hazard analysis,
a fault tree analysis, and a failure modes and effects analysis of the bench
grinder. Based upon these various analyses, the most common and the most
severe injury modes are identified, as well as the causes of these injury modes.
Finally, in each analysis, specific preventive measures, including preventive
maintenance is discussed.
Keywords: Product safety Hazard analysis System safety
1 Introduction
Gas furnaces are used in a variety of industries, such as make materials similar to
ceramics and glass. The Goodman furnace is used to test samples of material at Collins
Aerospace, where the first author is employed. The facility has a variety of gas fur-
naces, mostly nitrogen based, since Collins make brakes out of carbon fiber and the
carbon must go through a series of baking. The furnaces used for actual production are
much larger of course but they are similar to the Goodman furnaces we use for our
research and development department. During the tenure of the first author working at
Collins Aerospace, there haves not been any incidents with the furnaces, but the first
author is aware incidents that happened in the past or that have happened at similar
facilities. The Goodman furnaces can be very dangerous if not maintained and used
properly. The Furnace Deck, the department at the facility with the furnaces, is the
primary focus of attention as the furnaces are constantly being monitored.
The GMH8 Goodman furnace is a two stage, convertible, multi-speed, up-
flow/horizontal furnace. The overall assembly is shown in Fig. 1. One can see that the
two-stage furnace has two separate compartments with two separate doors. There are
different models of the GMH8 furnace, and the dimensions of the “A” and “B” vary by
model. The GMH80453AN model A is 14 inches wide and GMH80453AN model B is
12.5 inches wide.

https://doi.org/10.1007/978-3-030-20145-6_51
520 S. Poelman and J. P. Purswell
Figure 2 shows all of the dimensions and specifications of the GMH80453AN

model B furnace.
Fig. 1. The GMH8 Goodman furnace
Fig. 2. Dimensions of the GMH80453AN model B furnace
The number of parts a product is made up of can also have an effect on the number of
possible hazards. Gas furnaces have a variety of possible hazards such as the gas that is
being burned to heat the furnace, and the ventilation that is required among others. Some
of the hazards are addressed by warnings on the product as shown in Figs. 3 and 4.
A Hazard Analysis of a Gas-Fired GMH8 Goodman Furnace 521
Fig. 3. Safety warnings
Fig. 4. More safety warnings
2 Accident History
As shown by the OSHA Accident database, this particular product can be very dan-
gerous if safety precautions are not taken.1 The most recent 40 entries for coded with
the keyword “furnace” were analyzed. The 40 entries are shown in Table 1.
1
OSHA Accident database. (https://www.osha.gov/pls/imis/AccidentSearch.search?acc_keyword=%
22Furnace%22&keyword_list=on). Accessed on 12/5/18.
Table 1. OSHA accident database entries coded with the keyword “furnace”.
# Summary Nr Event Date Report ID Event Description
1 104643.01 4/11/2018 418200 Employee Is Killed When Struck By Falling Furnace Door
2 104222.01 1/31/2018 355112 Employee Is Killed In Flash Fire After Using Gasoline To Sta
3 100975.01 11/15/2017 418300 Employee Is Setting Up Furnace And Suffers Multiple Burns To
4 100645.01 10/24/2017 111500 Employee Is Hospitalized After Exposure To Carbon Monoxide
5 100058.01 10/15/2017 523400 Employee Sustains Burns When Combustible Gas Ignites
6 99338.015 9/20/2017 751910 Two Employees Burned When Loader Cab Catches Fire And Explod
7 99339.015 9/20/2017 751910 Two Employees Burned When Loader Cab Catches Fire And Explod
8 98960.015 9/8/2017 522300 Employee Is Burned While Servicing Electric Arc Furnace
9 98855.015 9/3/2017 418300 Employee Trips And Receives Second Degree Burns On Feet From
10 99200.015 7/27/2017 552652 Employee Is Burned When Gas Ignites
11 101061.01 7/3/2017 751910 Employee Suffers Burns In Aluminum Explosion
12 101062.01 7/3/2017 751910 Employee Suffers Burns In Aluminum Explosion
13 96730.015 6/4/2017 751910 Employee Is Injured When Building Explodes From A Flammable
14 100464.01 5/4/2017 552652 Employee Sustains Burns From Flying Molten Metal When Scrap
15 95320.015 5/3/2017 522300 Employee'S Finger Tip Is Amputated While Closing A Furnace D
16 94340.015 3/24/2017 523400 Employee Catches Pants On Fire While Replacing Electrode And
17 100086.01 3/15/2017 950635 Employee Receives Electrical Shock/Burn From Induction Furna
18 93938.015 3/15/2017 112600 Employee Is Engulfed By Hot Ash And Suffers Multiple Burns
19 93710.015 3/7/2017 552652 Employee Is Struck And Killed By End Cap From Pressurized Do
20 93864.015 2/16/2017 1054191 Three Employees Suffer Carbon Monoxide Inhalation From Fault
# Summary Nr Event Date Report ID Event Description
21 92959.015 1/23/2017 Worker Is Struck By Falling Pipe Inside A Furnace And Sustai
22 92127.015 1/6/2017 Employee Is Injured In Furnace Explosion
23 78220.015 7/16/2015 Employee Falls And Suffers Unspecified Injuries And Is Kille
24 59829.015 3/31/2014 Employee Caught Between Metal Door And Conveyor Is Killed
25 57509.015 1/20/2014 Two Employees Are Killed By Electric Arc Furnace Explosion
26 56388.015 11/15/2013 Employee Is Lighting Furnace And Is Killed In Explosion
27 202654976 11/13/2013 3711 Three Employees Sustain Burns Opening Pressurized Chamber
28 201694924 11/8/2013 3339 Employee Amputates Fingers Between Pot And Furnace Frame
29 49267.015 7/29/2013 Employee Falls Into Furnace And Dies From Asphyxiation
30 48688.015 7/17/2013 Employee Is Severely Burned While Repairing Vent Stack And I
31 202637500 4/10/2013 3312 Employee Dies From Heart Attack At Blast Furnace
32 50126.015 4/7/2013 Employee Is Burned In Explosion And Fire, Later Dies
33 202531695 3/18/2013 3398 Employee Is Killed When Struck By Rack Of Cylinders
34 202637112 3/13/2013 3312 Three Employees Are Burned Due To Arc Flash/Heat
35 200535771 12/31/2012 3321 Employee'S Thumb Is Amputated While Replacing Furnace Lid
36 200452977 3/24/2012 3567 Employee Is Killed When Pinned Between Feeder/Charge Door
37 17215.015 2/23/2012 Three Employees Are Burned When Lp Gas Leaking Out Of A Cyli
38 200999142 2/3/2012 3341 Employee Is Killed When Crushed By Aerial Lift
39 202478129 1/21/2012 3398 Employee Is Burned After Falling Into Furnace
40 201392578 12/13/2011 3567 Employee Electrocuted By Faulty Plug Dies
Based upon these most recent forty entries in the database coded with the keyword
“furnace”, an analysis was performed examining how many fatalities were documented
for each year and what causes the injury/fatalities. Figure 5 shows the number of
fatalities that occurred each year from the most current entries back to 2012. The 2013
calendar year had the most, five fatalities.
Fig. 5. Number of fatalities by year.
Figure 6 shows, using a pie chart with the percentage for each injury or fatality by
cause. Looking at the chart one can see that most injuries are caused by explosions,
followed by fires, and then being crushed by the furnace door. 22% of the time
explosion is the cause of the injuries/fatalities, 15% of the time is caused by fires and
12% of the time is caused by the furnace door of lid falling or crushing the person.
Fig. 6. Causes of injuries/fatalities

3 Preliminary Hazard Analysis
Given these data regarding the various causes of injuries and fatalities, a preliminary
hazard analysis was then performed to further investigate these incidents and to identify
hazard controls for the hazards. This PHA is shown in Table 2 below.
Table 2. Preliminary Hazard Analysis for gas furnaces.

Hazard Cause Effect Corrective or preventative
measures
Fire or spark Highly The inside of the furnace A well-designed layout
ignites gas flammable cabinet will be on fire, a should be designed to fit
outside nature of liquid possibility that the fire the furnace and fire
combustion fuels can spread to the outside extinguishers should be
chamber area of the furnace near the area
Overheated Electronics get Potential of melted wires Electronic material must
electrical overheated by could lead to faulty be able to withstand the
circuits the furnace equipment and possible high temperatures
dangerous area
Burn injury Outside of the The be hot to the touch Have warnings on the
from furnace may be causing burns outside of the furnace to
contacting hot hot when avoid people from
surfaces furnace is leaning on or coming in
running contact with the outer
area of the furnace
Gas leak, Gas leakage is Can lead to carbon Every so often, check for
resulting in common in monoxide poisoning gas and oil leaks (should
incomplete furnaces as time be part of PMs)
combustion goes by
4 Fault Tree Analysis
A fault tree created focusing only on fires and explosions with gas furnaces though
there is potential for other different hazards. The fault tree analysis is shown in Fig. 7.
The Fault Tree shows the different possible causes that could lead to a fire and/or an
explosion. The most common reasons are gas/oil leaks, overpressure, clogged venti-
lation, and ignoring signs such as alarms or warnings.
Some of the safety techniques that were found for the Goodman gas furnaces were
done through the installation process in order to make sure that the equipment is in
proper use from the start. Figure 8 shows the safety instructions from the manual.2
2
GMH8 Installation Instructions. https://www.questargas.com/ForEmployees/qgcOperationsTraining/
Furnaces/Goodman_GMH8-GDH8-DualSaver-Gas-Furnace-Installation-Instructions.pdf. Accessed
on 12/5/18.
Fig. 7. Fire/explosion fault tree.

Fig. 8. Safety of setup & use

5 Failure Modes and Effects Analysis
The FMEA is shown in Fig. 8.

Figure 8 Failure modes and effects analysis.
Part name Function Failure mode and Failure effect on Corrective

cause action
Tubular Contains fluids Potential of Junction box Should be
heat to heat the clogging temperature cleaned
exchanger furnace during PMs
Pressure Adjusts the Over time may Junction box, gas Should be
switch pressure have faulty wires line checked
during PMs
Electrical The sensors Furnace may Overall furnace Test sensors
components and electronics overheat and the and
that help run components may components
the furnace stop working during PMs
Gas line Where gas The pip may get Overall furnace Clean every
entrance enters the clogged so often for
furnace PMs
Gas line Valve to turn Potential of Gas line entrance May be
valve off the gas degrading over changed
time every so
often
Junction The inside area Insulation Electrical Replace he
box of the furnace deterioration components/sensors insulation
when
needed
As can be observed from the FMEA, the GMH8 furnace has a number of com-
ponents which can fail across time, with serious implications for both the system
performance as well as the operator’s safety. It can also be observed that the imple-
mentation of regularly scheduled preventive maintenance directed by the manuals for
the furnace can reduce or eliminate the component failures which cause these risks.
6 Conclusions
This safety analysis of the GMH8 furnace shows that by reviewing data for previous
accidents as well as by the application of various analysis techniques such preliminary
hazard analysis, fault tree analysis, and failure modes and effects analysis, potential
hazards associated with the use of the GMH8 furnace can be identified and hazard
controls put in place.
Hazard Analysis of a Handheld Angle Grinder
Franchesca Montoya and J. P. Purswell(&)
Department of Industrial Engineering, CSU-Pueblo, 2200 Bonforte Blvd,

Pueblo, CO 81001, USA
Franchesca.Montoya01@gmail.com,
Jerry.Purswell@csupueblo.edu
Abstract. A safety analysis of a cordless (handheld) angle grinder is presented.

The analysis includes a discussion of prior injury data, a preliminary hazard
analysis, a fault tree analysis, and a failure modes and effects analysis of the
angle grinder. Based upon these various analyses, the most common and the
most severe injury modes are identified, as well as the causes of these injury
modes. Finally, in each analysis, specific preventive measures, including pre-
ventive maintenance is discussed.
Keywords: Handheld grinder safety Hazard analysis
1 Introduction
The specific angle grinder analyzed is the Makita Brushless Cordless 7” Paddle Switch
Cut-Off/Angle Grinder. Detailed specifications for the grinder are contained in the
references [1]. This angle grinder is a handheld power tool used to grind metal to be fit,
finished or sanded and may be used in both household and worksite applications; they
are also widely used on crash sites to remove passengers from vehicles.
Angle grinders come in different varieties such as pneumatic, electric and battery
powered; they also have a large multitude of interchangeable abrasive discs so the user
may choose a specific type based on the project, or when the disc wears down. The
availability of power sources and wide variety of abrasive discs make the angle grinder
a prevailing, dynamic power tool.
The motor drives a geared head at a right-angle propelling the mounted disc into a
circular motion. When applied to the surface of an object the abrasive cutting wheel
may be used as a sander, employing a sanding disc with a backing pad or disc, grinder
or abrasive cutting tool.
The authors chose the angle grinder because the first time the first author used one
was quite the experience; they are powerful, aggressive tools and if used improperly
could cause serious harm to the user and bystanders. The force of the torque created by
the spinning disc is difficult to work against when attempting to turn the tool off which
could injure the user. Hazards such as loss of control of the tool resulting in injury,
sparks creating fire, electrocution and pain in joints and muscles due to the prolonged
handling of the tool.
Most grinders on the market come equipped with a number of safety features such
as guards, additional handles and a very thorough user’s manual. As a novice user, the

https://doi.org/10.1007/978-3-030-20145-6_52
Hazard Analysis of a Handheld Angle Grinder 529
first author’s greatest fear when using the angle grinder was losing control of it and
dropping it on the floor, consequently breaking the grinding disc and potentially
sending metal shrapnel into the air.
The manufacturer promotes OSHA safety standards and provides additional OSHA
safety training. The particular angle grinder models the authors chose may also be
equipped with dust gathering attachments. The additional OSHA information available
on the website relates to OSHA COMPLIANCE RULE 29 CFR 1926.1153 [2]. OSHA
standards pertaining to this grinder can be found under 1926.303 grinding wheels.
The battery powered feature of this grinder eliminates the potential for electrocution
should the angle grinder come in to contact with the power cord. Another valuable
safety feature of this tool is the vibration absorbing back handle, this reduces the
vibration to the operator’s hands.
There are many power tool safety warnings for the angle grinder posted right at the
beginning of the user manual. The instructions are in English and Spanish and span 48
pages. There are many sections that provide specific instructions on proper use of the
power tool. The sections include:
• General handheld power tool safety warnings
• Cordless grinder safety warnings
• Battery care
• Instructions for wireless unit
• The general safety warnings include:
• Work area safety
• Electrical safety
• Personal safety
• Kickback and related warnings
• Safety warnings specific for sanding operations
• Safety warnings specific for wire brushing operations
• Power tool use and care
• Battery tool use and care
• Service.
2 Safety Precautions Included in the Manual
The manual also contains a number of useful figures to instruct the user in safe and
efficient operation of the grinder. While space limitations do not permit them to be
reproduced here, the reader can review these figures in the Makita manual [2].
There are many hazards involved with the use of the angle grinder. Makita engi-
neers went through a considerable amount of effort to develop safety features to protect
the user and bystander from injury. Engineers have created safety features such as:
• Tool/battery protection system
• Shaft lock
• Accidental re-start preventive function
• Electronic torque control function
530 F. Montoya and J. P. Purswell
• Soft start feature

• Wheel guard
• Switch action
• Automatic speed change function
Engineers have also identified the following hazards and provided precautions to
avoid each of the following hazards:
• Fire and explosion hazards: Power tools create sparks which may ignite the dust or
fumes.
• Breathing and air quality hazards
• Electromagnetic field generator hazards: Power tools emit EMF’s that may be
harmful to users or bystanders with cardiac pacemakers.
• Personal safety hazards caused by inattention or impairment from alcohol or drugs.
• Battery hazards: Use of any other battery packs may create a risk of injury and fire.
• Liquid ejected from the battery may cause irritation or burns.
• Familiarity hazard: A careless action can cause severe injury within a fraction of a
second.
The angle grinder is a productive, effective and efficient tool. While there are
certainly potential hazards associated with its use, adherence to safety precautions
specified by the user manual and by OSHA can minimize the risks associated with the
use of the tool. OSHA also provides material and extensive training resources. Safety
warnings and suggestions from the manufacturer and OSHA include:
• Work area safety: Keep work area clean and well lit
• Electrical safety: Do not expose power tools to rain or wet conditions
• Personal Safety: When using the tool, do not wear cloth work gloves which may be
entangled
• Battery care: Do not use a battery pack or tool that is damaged or modified
• Have your power tool serviced by a qualified repair person using only identical
replacement parts. This will ensure that the safety of the power tool is maintained.
• Never lay the power tool down until the grinding wheel has come to a complete
stop.
This specific angle grinder was chosen for analysis because it is battery operated
which would initially be safer due to the elimination of tripping hazards, one of
OSHA’s first suggestions when operating power tool. A battery-operated power tool
also eliminates the risk of electrocution due to the rotating disk coming in to contact
with the power cord. The OSHA specifications for angle grinder safety are extremely
informative. OSHA provides e-training for proper usage of angle grinder power tools
and a detailed list of measures that may be taken to prevent hazards associated with
power tools such as:
• Wearing personal protective equipment,
• Power tools must be fitted with guards and safety switches; they are extremely
hazardous when used improperly
All the safety measures will not be listed, but what will be listed are the main topics
OSHA associates with angle grinders and power tool safety.
• Guards
– “The exposed moving parts of power tools need to be safeguarded. Belts, gears,
shafts, pulleys, sprockets, spindles, drums, flywheels, chains, or other recipro-
cating, rotating, or moving parts of equipment must be guarded.”
• Operating Controls and Switches
• Electric Tools
– “Employees using electric tools must be aware of several dangers. Among the
most serious hazards are electrical burns and shocks.”
• Portable Abrasive Wheel Tools
– “Portable abrasive grinding, cutting, polishing, and wire buffing wheels create
special safety problems because they may throw off flying fragments.”
3 Discussion of Accident History
Accidents are possible with this type of power tool, there are a number of hazard
specifications and safety warnings for a reason. Personal protective equipment must be
worn, and safety precautions must be taken seriously to avoid injury. A brief
description of potential accidents will be discussed in this portion of the report (Fig. 1).
Fig. 1. OSHA accident reports

4 Safety Analyses
Three different safety analyses techniques were used to review the safety and hazard
controls for this angle grinder. The first was a Preliminary Hazard Analysis, which is
shown below.
4.1 Preliminary Hazard Analysis

See Table 1.
Table 1. Preliminary hazard analysis.

Hazard Cause Effect Corrective or preventative
measures
Bodily Loss of control of power The grinder may be spinning so Adding side grips to the grinder
injury tool fast and have so much torque so the operator may hold the
that the operator loses control grinder and be less likely to
of the grinder. The grinder lose control
could hit an object or bounce
off the floor and injure the Wear proper protective
operator or anyone in the near equipment
vicinity
Facial/eye Improper use of grinder: If the grinder is used at an Follow user operation manual
injury placing grinder in a vice improper angle the abrasive and read all warnings before
grip disk can shatter and send operating a product
shrapnel in to the eye or face of
the operator causing serious Wear proper protective
harm or loss of sight equipment
Head/face Improper use of grinder: When an angle grinder is Hold angle grinder at the
injury holding grinder in the applied to a surface at an correct position when operating
wrong position and not incorrect angle the angle and move it in the appropriate
using side grips grinder may have a kickback direction when moving along
effect and possibly bounce out the part
of an operator’s grip and injure
the head or face Use side grips when operating
angle grinder
Wear proper protective

equipment
Fire and Sparks are discharged A fire could potentially be Ensure the surrounding area is
spark from the contact of the ignited if the surrounding area free of combustibles and oil
angle grinder and is not free of oil or
materials combustibles
Charging Improper charging Damaging the battery, Properly position the battery on
hazards procedures (not following potentially exposing the the charging unit
charging instructions) operator to toxic chemicals
discharged by the battery
Not positioning the battery
correctly in the charging
unit
4.2 Fault Tree Analysis

The specific accident scenario selected for the fault tree was damage to the hands and
face, caused by oil on the floor (Fig.2).
Damage to limbs or face
Tool at dangerous Body in path of

potenƟal Ignoring safety precauƟons Operator slips in puddle of oil spinning parts
Operator unaware of Previous operator fails to

surroundings clean up work staƟon
Improper Side grips

Incorrect angle of removed No PPE
handling of
approach
grinder
Wheel guard
removed
Operator not trained to

Wheel
operate angle grinder
Spinning
Motor ON BaƩery IN Operator holding

device
Fig. 2. Fault tree of an injury arising from slipping in oil while using the grinder
FMEA
Component Function Failure mode and cause Failure effect on Corrective action
name
Lock nut Keeps the depressed Power ON rotating: a Abrasive disk If the lock nut is
center wheel, and stripped lock nut could stripping replace it
inner flange in place come loose during the
grinding operation Perform preventative
These components causing the grinding maintenance on the
work together to keep disk to come off and wheel components
the abrasive wheel cause injury to operator including the lock nut,
attached to the power or surrounding people depressed center and
tool wheel inner flange
Power OFF: the lock nut
could be so stripped that
it falls off of the angle
grinder while not in use;
causing malfunction
during power up
Abrasive Grinds metal objects Power ON rotating: None; Operate angle grinder
grinding to remove excess grinding disk could be Possibly strip the lock at the appropriate angle
disc material, leave a operated at incorrect nut so the next disk and use accordingly
smooth finish or for angle and catch a piece could face the same
cutting metal of metal in the wrong failure Replace grinding disk if
material way causing the disc to it is showing substantial
shatter signs of wear or over
usage
Power OFF: the grinding
disk could deteriorate
when exposed to the
elements; if the wheel is
placed on an angle
grinder the disk may
shatter
Bearing box Contains bearings Power ON rotating: Rotating disk: the Preventative
that provide a grinding wheel is rotating disk can shatter maintenance on the
‘cushion’ for pushed too hard against if the bearings are not bearing box. Make sure
rotating wheel an object, the bearings working correctly bearings are rotating
absorb some of force of because the bearings properly
the torque in the will not absorb
opposite direction additional torque
The preliminary hazard analysis is used to determine what potential hazards the
angle grinder may pose to the operator or others standing by. By evaluating the
potential hazards, their causes and effects, and then taking correct and preventative
measures, user exposure to the hazards involved when using this grinder can be
minimized.
The fault tree analysis was a useful tool. Using the AND and OR logic to produce a
sequence of events that pose a potential hazard helps clarify those combinations of
conditions which can result in the top (adverse) event occurring. The fault tree analysis
is a graphical approach to the organization of potential faults and failures that could
lead to a larger hazard; it can be easily translated in to layman terms and manipulated if
more events are added.
The failure mode effects analysis takes specific components of the device, their
function, failure mode and cause, other components the failure could cause failure to
(because a piece of equipment is essentially a lot of pieces of equipment combined in to
one object) and corrective actions that can be used to prevent failures. When consid-
ering safety, identifying equipment failure can save lots of time in replacing equipment
and prevent injuries caused by equipment failure.
References
1. Product website specifications: Makita USA Product Details -XAG22ZU1. (2018). https://
www.makitatools.com/products/details/XAG22ZU1. Accessed 19 Nov 2018
2. OSHA Compliance rule 29 CFR 1926.1153: Makita Power Tools. Makita Power Tools
(2018). https://www.makitatools.com/dust-management/silica-dust. Accessed 19 Nov 2018
3. OSHA power tools: Osha.gov. HAND and POWER TOOLS (2018). https://www.osha.gov/
Publications/osha3080.html. Accessed 19 Nov 2018
4. OSHA Accident database. https://www.osha.gov/pls/imis/accidentsearch.accident_detail?id=
201145810. Accessed 19 Nov 2018
Safety Training and Occupational
Accidents – Is There a Link?
Celina P. Leão(&) and Susana Costa
Algoritmi Centre, University of Minho, Guimarães, Portugal

{cpl,susana.costa}@dps.uminho.pt
Abstract. Worldwide, 270 million occupational accidents occur, and 160

million occupational diseases are reported, each year. Moreover, hundreds of
millions of work days are lost every year as a result of poor working conditions
in the European Union alone. One of the most advocated accidents preventive
measures is the education and training of workers. This work proposes to make a
systematic literature review, whereby the Authors aim to answer the research
question: “Is there evidence within the scientific literature of the relationship
between education/training and accident occurrence?”. In a brief analysis of the
results, it is observed that extending the keywords Education AND occupational
AND accidents to the Topic field, a higher number of results were shown,
whereby the majority of the documents were articles, and records stemmed from
early 1990s, in a variable behaviour. The Portuguese language is second to the
English-written documents. These results will yield important information to
determine future approaches in the prevention of occupational accidents
occurrence.
Keywords: Occupational accidents Safety training ISO 45001

ISO 31000 Prevention
1 Introduction
Worldwide, 270 million occupational accidents occur, and 160 million occupational
diseases are reported, each year. Moreover, hundreds of millions of work days are lost
every year as a result of poor working conditions in the European Union alone. One of
the most advocated accidents preventive measures is the education and training of
workers.
Safety culture has been a pressing issue these last years, enforced both by the recent
ISO 45001:2018 and ISO 31000:2018, whereby the role of the worker in the man-
agement of his/her own safety is considered paramount [1, 2]. It is believed that, when
the worker perceives his/her company as committed to safety (within a sound safety
culture), his/her own proactivity towards prevention will be improved. What these
documents advocate is that in an environment where there is a sound safety culture, the
training of workers is continuous, in an iterative process of participatory communi-
cation between the hierarchies on recommendations for improvement, needs and
expectations. Indeed, the role of the Human Factors has been given increasing

https://doi.org/10.1007/978-3-030-20145-6_53
Safety Training and Occupational Accidents – Is There a Link? 537
consideration not only in operational Safety (more linked to accident prevention), but
also in occupational hygiene (devoted to the mitigation of occupational diseases) [3].
In previous study [4], authors show that regardless the importance of Safety in the
current occupational field the number of accidents’ occurrence show an oscillate
behaviour reversing the expected trend. Therefore, the present study represents a first
step in finding evidences on the influence of educational and the occupational accidents
incidence.
So, this study aims to identify if there is some type of link between safety training
and the occurrence of occupational accidents. By doing this, it will be possible to
answer the following research question:
“Is there evidence within the scientific literature of the relationship between education/training
and accident occurrence?”
This paper is divided into six sections. Following the first section, regarding the
introduction, Sect. 2 presents the research method used. In Sect. 3 the results and
discussion are displayed based on the research strategy to identify the relevant studies
that should be considered. Finally, Sect. 4 presents the conclusions and suggestions for
future research.
2 Methodology
In the present study, the methodology chosen follows a systematic literature review
(SLR) of journal articles dealing with Education/Training and Accidents in Occupa-
tional Environment and related topics, for a reference period chosen, allowing to find
evidence on how education/training and accident occurrence are related and in which
direction.
3 Systematic Literature Review
A Systematic Literature Review (SLR) is a research method that adopts a precise,

transparent and explicit research protocol aiming to answer the research question(s)
based on all relevant published studies. To do so, this process comprises a set of steps:
(1) planning the review and research question formulation, (2) locating studies,
(3) study selection and evaluations, (4) analysis and synthesis, and (5) reporting the
results [5, 6]. By doing this, the SLR allows an understanding of the topic under study
by summarizing the existing research findings.
Search Strategy. For the SLR a search was conducted in the Scopus and Web of
Science (WoS) databases (SCI-EXPANDED, SSCI, A&HCI, CPCI-S, CPCI-SSH,
BKCI-S, BKCI-SSH, ESCI, CCR-EXPANDED, IC). A combination of keywords was
used to search for relevant studies regarding safety training in occupational accidents:
Education/Occupational/Training/Accident*/Incidence/Occurrence. All the combina-
tion used are shown in Table 1. Also, different filter type was considered according to
538 C. P. Leão and S. Costa
the database: search only in the Keywords field, search in the abstract, and search in
Article Title, Abstract and Keywords, for the Scopus database and, for the WoS, search
on Topic field and in all fields. No restriction to the time frame was considered
allowing to verify the evolution of this topic over time. Also, only English-written
documents were contemplated. The search includes articles, proceedings papers,
review and book chapters.
Definition and Use of Inclusion/Exclusion Criteria. The inclusion criteria used in
the study considered studies that highlighted the relationship between education/
training and accident occurrence. As exclusion criteria the studies that are not full
available and with low or very low relevance regarding the main objective under
analysis.
Table 1. Database search results by keywords combination considered by database and filter
type considered.
No. Filter type Database Keywords combination Number
#1 Keywords Scopus (((Education AND Occupational) OR 200
(Training AND Occupational)) AND (48)
#2 Abstract ((Accident* AND Incidence) OR 164
(Accident* AND Occurrence))) (40)
#3 Article title, 759
abstract and (79)
keywords
#4 Topic WoS (((Education AND Occupational) OR 166
(Training AND Occupational)) AND (25)
#5 All fields ((Accident* AND Incidence) OR 252
(Accident* AND Occurrence))) (39)
#6 Keywords Scopus (Education AND occupational AND 1901
#7 Abstract accidents) 428
#8 Article title, 3078
abstract and
Keywords
#9 Topic WoS (Education AND occupational AND 440
#10 All fields accidents) 856
4 Descriptive Analysis
The database search results are shown in Table 1, giving the base topics previously
identified. For the Title field 0 documents results were retrieved so, not considered in
the study. The values in parentheses relate to the values obtained after the application
of the inclusion/exclusion criteria.
For example, regarding the 25 studies selected from the initial 166 studies obtained
(see result No #4) and that were common on all the search results obtained, 88% are
written in English and the remaining 12% divided equally between Portuguese, Ger-
man and Korean languages (Fig. 1(a)). 64% are articles, and 20% proceedings paper
and review type, respectively (Fig. 1(b)). Regarding the research areas of the publi-
cation of these studies, the three most significant (36%) are from public environmental
occupational health area, followed by engineering with 32%, and operations research
management science area with 16% (Fig. 2(a)). The publication years range from 1993
and 2019 (Fig. 2(b)), presents some variability. Although the year of the first publi-
cation is 1993 [7], the next publication happens eight years after this first publication
and then, at least one publication per year until the present year (exception in 2010 with
no publication). The year 2018 presents the highest value (20%), followed by 2016 and
2011, each representing 12% of publications, then 2017, 2014 and 2012 each with 8%
and the remaining years with 4% each.
Fig. 1. Descriptive data: (a) Languages, (b) Document type.

Fig. 2. Descriptive data: (a) Research Areas, (b) Publication Years.
5 Findings and Discussion
This section presents the main results and discussion based on the identified relevant
studies in order to get an answer to the research question formulated.
Table 2 summarizes the studies (by document type) that were included and con-
sidered to fulfilled and used to answer the research question of this study: “Is there
evidence within the scientific literature of the relationship between education/training
and accident occurrence?”
Table 2. Studies included in the SLR.

Article Author(s) and Title Type Database
no. publication year
1 Gun (1993) The role of regulations in the prevention of Paper WoS
occupational injury ()
2 Yang et al. (2007) The effectiveness of a training program on Paper WoS
reducing needlestick injuries/sharp object
injuries among soon graduate vocational
nursing school students in southern Taiwan
3 Hare and Cameron Site manager safety training Paper WoS
(2011)
4 Porru, Calza, Arici An effectiveness evaluation of a multifaceted Paper WoS
(2011) preventive intervention on occupational
injuries in foundries: A 13-year follow-up
study with interrupted time series analysis
5 Saleh and Pendley From learning from accidents to teaching Paper WoS
(2012) about accident causation and prevention:
multidisciplinary education and safety
literacy for all engineering students
6 Jakobsen et al. Participatory organizational intervention for Paper WoS
(2016) improved use of assistive devices in patient
transfer: a single-blinded cluster randomized
controlled trial
7 Aleksandrova, A role of education system in creation of Paper WoS
Devisilova, Ivanov safety culture
(2016)
8 Boini, Colin, Effect of occupational safety and health Paper WoS
Grzebyk (2017) education received during schooling on the
incidence of workplace injuries in the first 2
years of occupational life: a prospective study
9 Yu et al. (2017) Effectiveness of participatory training in Paper WoS
preventing accidental occupational injuries: a
randomized-controlled trial in China
10 Itani et al. (2018) Sleep-related factors associated with Paper WoS
industrial accidents among factory workers
and sleep hygiene education intervention
In Gun work [7] although it does not directly address the issue of the relationship
between education/training and accident occurrence, the data collected show a sig-
nificantly association between management awareness of regulatory requirements and
compliance of relevant regulations and also the significant association between com-
pliance and training of management in safety.
In Yang et al. wok [8], authors demonstrate, among graduate nursing students, the
effectiveness of a training program in the reduction of needlestick and sharp object
injuries. Authors show that a significant improvement could be achieved through
education. Still, and regarding actions to provide and raise awareness, Saleh and
Pendley in their work [9], discuss why system accident literacy and safety competence
should be taught and propose a structure and content of an introductory course on
accident causation and system safety for engineering students, future engineers’ pro-
fessionals contributing to a step forward for accident prevention. This issue is later on
emphasized by the importance of a safety education in the university education level in
the field of security in Russia [10]. Continuing in the topic of occupational safety and
health education, Boini, Colin, and Grzebyk [11] in their study demonstrated that
young people starting their careers who had received occupational safety and health
(OSH) education during formal schooling would have fewer workplace injuries than
those who received no OSH education. This study covered several professions in
French production or service industries. Itani and co-authors in their work [12]
establish the association between industrial accidents and sleep-related parameters in
factory workers, by studying the effectiveness of sleep education intervention for
improvement of sleep status, where a significant association between the occurrence of
industrial accidents and the evaluation of sleep status (based on a self-administered
questionnaire) where observed.
In Hare and Cameron work [13], authors, based on a random sample of 100
construction firms, demonstrate that the increase in the duration of training lead to
increased safety performance, and that must be in line with managers competence and
responsibility. Similar positive results were obtained in [14] based on an intervention in
reducing occupational injuries rates and in improving quantitative and qualitative
outcomes in the foundry sector. Similar results were obtained in a study conducted in
factories in Shenzhen, China [15], where the effectiveness of a participatory training
program in preventing accidental occupational injuries were evidenced by a reduction
of the number of accidental work injuries and re-injuries among frontline workers.
In the health sector, Jakobsen et al. (2016) [16] show how an organizational par-
ticipatory ergonomics intervention may help to reduce the risk of low-back pain
(LBP) and injuries among nurses and nursing assistants in the long run.
6 Conclusions
This study is the first step to verify whether there is an evidence within the scientific
literature of the relationship between education/training and accident occurrence.
Independently of the field/area of work, and also the level of knowledge, results
show a positive relationship between intervention with the objective not only to raising
awareness to these issues but also improvements achieved through education all
towards reducing occupational accidents.
Acknowledgments. The authors would like to express their thanks to FCT – Fundação para a
Ciência e Tecnologia, for all the support provided in the scope of the projects COMPETE: POCI-
01-0145-FEDER-007043, UID/CEC/00319-2019.
References
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systems—Requirements with guidance for use (ISO/DIS Standard No. 45001) (2018)
2. International Organization for Standardization: Risk management – Guidelines (ISO
Standard No. 31000) (2018)
3. Miguel, A. S.: Manual de higiene e segurança do trabalho. 13th edn. Porto Editora (2014)
4. Leão, C.P., Costa, S., Costa, N., Arezes, P.: Capturing the ups and downs of accidents’
figures – the portuguese case study. In: Ahram, T., Karwowski, W., Taiar, R. (eds.) Human
Systems Engineering and Design, IHSED 2018. Advances in Intelligent Systems and
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Evaluation Method for Safety Management
Characteristic of Medical Workers
Haruna Yamazaki1(&), Kana Kimura2, and Yusaku Okada1

1
Faculty of Science and Technology,
Department of Administration Engineering, Keio University, Tokyo, Japan
budgiesan.8732@gmail.com, Okada@ae.keio.ac.jp
2
School of Science for Open and Environmental Systems,
Graduate School of Science and Technology, Keio University, Tokyo, Japan
5kn27k@gmail.com
Abstract. The PDCA cycle proposed to prevention activities of medical

accidents. We will propose suitable manager to operate this PDCA cycle. They
are not only support for planning measures but also on the qualities items of the
site leader which is the center of improvement of the workforce in various
industries, safety personnel in various industries. We will report on the contents
of consideration based on the survey of education, tasks and so on.
Keywords: Management Safety Information Text mining Medical
1 Introduction
The activity of safety management in medical institutions has been positively perform
for problems directly related to patients’ lives. In this management, activities that
prevent future accidents and incidents, which may endanger patients’ safety and con-
fidences to doctor analyze briefly incidents happening in medical facilities and take
measures. These activities are well known as necessary. However, the Risk Manager in
the hospital who performs the field-oriented safety management also have regularly
works as field workers. Due to this lack of capacity of workers and time, problems that
the hospital couldn’t easily perform the preventive activities have been occurring
recently.
As I said, risk managers in the medical fields are working too hard due to the
quantity of works they have. So, there are demands of leaders to bring up the power of
the medical field. Besides, they are expected to manage the people in their hospitals.
These leaders are necessary for safety management. Therefore, I considered what
abilities are needed to become a site leader in the medical field. In order to consider it, I
surveyed educations, tasks and so on about safety management workers in various
industries.
However, there are no definite boundaries between leaders and others. So some
leaders have high abilities, but some don’t. Therefore, there is large differences of
safety management power between hospitals. I saw this as a problem, because the
quality of safety in hospital should be maintained.

https://doi.org/10.1007/978-3-030-20145-6_54
Evaluation Method for Safety Management Characteristic of Medical Workers 545
So, I considered how we can certificate the abilities that are needed to be a leader
who supports safety management in the medical fields, and I focused on an ability that
is needed. That is, the capacity for others’ emotion. In order to prevent future accidents
and incidents which may endanger patients’ safety, collecting information about pre-
ventative accidents and incidents is so much important, because that information may
prevent critical accidents or incidents. But risk managers often fail to collect this
information in current condition. So, I focused on why people don’t report this
important information, and why risk managers can’t make them report. Then I thought,
if the leaders who play role in safety management discerned one’s mind why one
doesn’t report important information, the information would be reported more than it is
now. Therefore, I established a method to test the capacity for others’ emotion. This
method is an activity that makes people think about the emotion of people who don’t
report information. So, I’m thinking of classifying people by this activity’s result, and if
the activity’s result exceeded the threshold cut and dried, the man would be certificated
as a safety management leader.
The safety management leaders who are given certification by this activity may
help the safety management activities in medical fields. Furthermore, if this activity
was established, this activity might be used in different fields where the safety man-
agement is necessary.
2 Issues
Doing safety activities by organizations such as corporations is not only activities that
directly face accidents and take preventive measures, but it is necessary to engage in
daily work in response to certain obligations and responsibilities in modern society It is
essential. When organizations provide products and services to the world, it is the most
basic idea that they are safe products and services, and users can use them with peace of
mind, and the minimum quality of such safety and security It is because the organi-
zation that is a member of society should at least perform guarantees.
It is also important that the organization conducts safety activities and fulfills its
accountability in order to provide safe and secure products and services, which leads to
trust from society, resulting in improvement of customer satisfaction of the organiza-
tion. Continuing safety activities within the organization not only prevents the dangers
of the workplace, but also leads to changes to a workplace with a good workplace,
improved employee satisfaction, and it becomes vitality of the organization. These
effects lead to the improvement of profit as far as companies are concerned, which leads
to the future sustainment of the organization. In this way, safety activities are a social
responsibility that the organization should fulfill, and it is also one of long-term
strategies for the organization to sustain.
However, in reality, in many organizations, it is currently the case that the sub-
stance of safety activities is not accompanied. Many organizations catch safety activ-
ities only from the perspective of preventing accidents and do not regard them as long-
term tactics or strategies. For that reason, it is true that safety is not taken much into
546 H. Yamazaki et al.
importance except in industries where damage and influences such as nuclear power,
railroad, aviation, etc. are great.
When thinking about improving the awareness of the workplace, it is the medical
safety manager and risk manager that is responsible for the majority. Medical safety
managers are the leading experts in safety activities and risk managers are active in the
field and are leading the field. However, as the current situation, the definition of
medical safety manager and risk manager is not clear. According to “guidelines for
guiding business guidelines and training programs for medical safety managers” pre-
pared by the Medical Safety Measures Review Meeting of the Ministry of Health,
Labor and Welfare.
Position of medical safety manager in medical institution
A medical safety manager is a person who is given the necessary authority such as
human resources, budget and infrastructure to delegate the authority necessary for
safety management from the administrator of each medical institution, and based on the
instructions of the administrator, I will do.
Operation of medical safety manager
Based on the authority delegated by the administrator of the medical institution, the
medical safety manager participates in the establishment of a structure within the
medical institution concerning safety management and supports the smooth operation
of various activities such as the committee. We also strive to educate, and train staff
concerning medical safety, collect and analyze information, plan measures, respond to
initial response at the occurrence of an accident, plan for preventing reoccurrence,
prevention of occurrence, prevention of the spread of the impact of accidents that have
occurred. Through these, we will promote the development of safety culture in medical
institutions by rooting the safety management system within the organization and
functioning.
It is written. But with this it is impossible to limit people.
This is caused by various levels depending on the site. Therefore, I considered the
management characteristics required of the medical safety manager and examined the
evaluation method of its characteristics.
There are also, some issues when we start safety management activities/
First of all, as a first problem, there are times when the site has the question “Why
should individual problems be addressed as an organization?” As with medical insti-
tutions, railway companies aiming to improve safety by collecting information and
sharing information also aim to be “a system for ensuring security in a group together”
in the safety report of 2017, activities related to safety are individual It is necessary not
to move as an organization because it does not stop at the problem of. However, there
are many parts that are still considered as individual problems in the field.
Secondly, there is a problem of “It is hard to work to seek reports until they bend
their feelings to hide errors”. There is a risk that stacking small errors will lead to
serious incidents. However, in the field there is a current image that the report does not
go up because the negative image on the error is large.
Thirdly, there is a problem of “why not only measures against the troubles that have
occurred (prevention of reoccurrence)?” Until now there was a section saying that we
Evaluation Method for Safety Management Characteristic of Medical Workers 547
had to work on preventing reoccurrence. However, even in railroad companies, it is

thought that insufficient recurrence alone is insufficient, as the prevention activities
through information gathering and information sharing are carried out in the form of a
“bud report of accident”. However, reports can’t be reported to the site because it is not
possible to become a prevention activity beforehand.
Fourthly, “Since errors are due to lack of skills, studies and efforts are the best in
countermeasures” is a problem. Although studying and effort are necessary, it is
indispensable to share information on what actually happens, as it is a direct measure
against possible serious incidents.
Finally, as the fifth item, there is a problem that “activities by universities and
research institutions are not practical or ineffective and cannot be expected”. We are
adopting activities by external organizations because we are doing asset management to
achieve service optimization, but the intention is not transmitted to the workplace at
present.
These five problems are currently occurring in the field. Therefore, we propose that
those who have the power to solve these problems be practitioners who are the center
of medical safety services. A person who can solve the problem occurring in the field
plays a central role in the service and it is thought that further advanced medical safety
activities will be carried out smoothly. Safety activities are progressing smoothly in
companies that actually have departments responsible for safety such as the Safety
Promotion Department.
3 Methods
This time, in order to measure the suitability of the practitioner who plays a central role
in medical safety services, we conducted experiments in which medical staff involved
in medical safety cooperated and work on the problems actually raised was actually
carried out. Among the medical staff, the subjects were those who participated in the
medical safety manager training course. Specifically, in response to the above five
problems, we conducted a work of raising a total of 20 things, four items for each item,
which can be thought of as the respective backgrounds.
First of all, as a flow, I will explain the awareness and the necessity of collecting
information and sharing information. Then tell the current situation that the report does
not go up. Based on this, we will work to think about the background where the five
problems on the site occur. In this experiment, we tried to do this work for two people.
As a result, it was divided into a group, which was able to raise 20 things in one hour,
and a group, which could not be mentioned. Even though we could raise 20 things,
there were some that were different from what we wanted. For that reason, we scored
points raised in the work, and we cooperated with those currently doing activities as
medical safety manager and classified them. The classification results are shown in the
following graph (Fig. 1).
548 H. Yamazaki et al.
Scores
Careers
Fig. 1. Career of their work and the score of proposed work. This shows correlation between
these two points.
4 Conclusion
By implementing this work, we can see correlation between career of their work and
the score of proposed work. This time, we scored in subjective method. By scoring in
this method, we could get to a certain degree. However, this method can’t use in
various place because we can’t score all of them. So, I’m trying to develop a method
scoring by using text mining.
References
1. Japan Council for Quality Health Care: Medical accident information gathering business.
www.med-safe.jp/
2. Kono, R.: Human Factors Approach to Medical Safety - Towards Construction of a Human
Centered Medical System (2015)
Study on Exit Strategy
to Promote Introduction of New Technology
to Safety Management Activities
Naoko Sakata1(&), Risako Shiraishi2, and Yusaku Okada1

1
Department of Administration Engineering,
Faculty of Science and Technology, Keio University, Tokyo, Japan
naoko.s8521@gmail.com, Okada@ae.keio.ac.jp
2
School of Science for Open and Environmental Systems,
Graduate School of Science and Technology, Keio University, Tokyo, Japan
risakomaru@keio.jp
Abstract. Enterprises engaged in public services have tolerable risk the rage is
limited narrow, so they need to engage in safety management activity as a whole
organization and to upgrade safety culture. They are required to try to new
activities for upgrading safety culture not being satisfied with the present safety
management activity. As new activities, they begin considering introducing a
new technology into safety management activity focusing on “technology” that
is one of the three major elements keeping security.
In this study we organize the policy of exit strategy aimed at introducing new
technology to safety management activities in public service.
Keywords: Management Safety Technology Exit strategy
1 Introduction
In this study, public service is aimed at railways, roads and medical care. Business
operators engaged in public services must conduct business services not only for
workers but also for third parties, including users, as well as the safety and security of
the region where services are rooted. In “ISO/IEC Guide 51”, safety and its risk are
advocating risk assessment. In the case of public services, accepting acceptable risks is
not limited to operators, but users and regions. Furthermore, the interpretation of harms
also fluctuates with this concept of permission, and the allowable range required for
public services is narrow. Therefore, in implementing public services, it is necessary to
manage so as to keep it below the risk tolerated by society.
2 Issues
As an effort to enhance safety management activities, introduction of new technology is

being considered. However, unless reliability is guaranteed, it is difficult for new
technology to be adopted at the actual site, so the necessity of creating a mechanism for

https://doi.org/10.1007/978-3-030-20145-6_55
550 N. Sakata et al.
technical certification is emerging. Therefore, when introducing new technology to

organizations that provide public services, we investigated concerns about anxieties
and obstacles.
Based on the results, concrete concerns regarding technology performance and
procurement such as “accumulation/technical standards” and “anxiety about reliability”
are high in large cities (over 300,000 people), while small cities (population less than
50,000) It is understood that there are hurdles at the time of entry of introduction study,
such as “lack of information” and “difficult to select technology”. The point that should
be noticed is that it is not “difficult to introduce due to the procedure of bidding etc.”
regardless of the administrative population. In other words, the introduction of new
technology is not an obstacle to institutional issues, but lack of information/knowledge
on new technologies on the administrative side, evaluation of reliability, and failure to
have criteria for judging technology It has become.
3 Methods
Here, we decided the prospect of introducing new technology for each pattern of
discrepancy in consciousness within the organization by analyzing the questionnaire
survey and questionnaire results.
The a group interprets that both management and field workers are enthusiastic
about introducing new technologies, and the intention of the management layer is
penetrating throughout the organization. Therefore, it is expected that new technologies
will be introduced as the management shows interest in introducing new technology.
The b group refers to an organization that has a divergence in willingness to introduce
new technology between management team and field workers. This is equivalent to a
business hypothesising in this research that an exit strategy is necessary. Although
there is no discrepancy in the consciousness within the organization, the management
group does not show motivation for introducing new technology. Therefore, in such an
organization, the possibility of considering the introduction of new technology is
considered to be extremely low.
The purpose of this study was to confirm the existence of b group subject to this
research through survey questionnaires survey assuming the possibility of introducing
new technology separately from the above motivation divergence.
Safety management activities are to turn the PDCA cycle of Plan (plan) Do
(run) Check (evaluation) Act (improvement).
In turning this PDCA cycle, it is essential to collect information from the site. The
quantity and quality of information determines the adequacy of safety management
activities. If reports about accidents and troubles are not made or even hidden, no
countermeasures are taken, resulting in a situation where a bigger accident happens.
Based on the collected information, it is necessary to take safety measures to prevent
and prevent accidents from reoccurring. Depending on the planning method and
contents of safety measures, the effectiveness of safety measures at the site will be
different. If it is a safety measure that hinders the work of on-site employees and
becomes a burden, it will cause new human errors, which will cause accidents and
troubles.
Study on Exit Strategy to Promote Introduction of New Technology 551
For the above reasons, the awareness of safety management activities is evaluated
by preparing questions about accident reporting and safety measures.
Awareness of novelty is prepared not to be satisfied with the current safety man-
agement activities but also to ask questions whether to collect information useful for
safety management activities by looking outside the organization.
Questionnaire respondents evaluated 15 question items by assigning 6 grades. The
larger the numerical value, the lower the consciousness becomes.
Safety management activities should be tackled together by the organization, and if
some of the organizations have a negative attitude towards safety management activ-
ities, activities will not function, and management will not be adequate. In other words,
it is judged that the safety culture is being fostered as the stratum with low awareness of
safety management activities is infinitely close to 0. This also applies to the intro-
duction of new technology, and it can be said that the less interesting people are
interested in introducing new technology, the more ideal it is.
Therefore, in the analysis, not the data of the respondent as a whole, but use the
data of the low awareness group who answered that the consciousness to the safety
management activity is considered low. In using the data of low conscious people,
instead of simply calculating the ratio to the whole, we weighted the number of
respondents, so that the responses of low conscious people are strongly reflected.
Respondents who chose “0 not understood cannot be evaluated” assumed that they
are not interested in safety management activities and are not in the opinion and can not
answer, so that the manifestation that management is not adequate We are doing the
same weighting as the low conscious who chose “5 I strongly agree”.
Principal component analysis was performed with the lowest conscious person
score calculated as follows, and the features of the organization/business entity with the
possibility of introducing new technology were extracted (1).
fð5&0Þ 1 þ ð4Þ 0:6 þ ð3Þ 0:2g

Low Conscious People Score ¼ ð1Þ
all respondents
4 Result of Analysis
In order to grasp the characteristics of business operators, principal component analysis

was carried out and the results are summarized below.
About the existence of b group
15 out of 54 businesses. There is a divergence in consciousness between man-
agement and field workers in question items that show progressive characteristics,
and projects requiring proposal of exit strategy to introduce new technology We
confirmed the existence of the person.
Distribution of a group and b group in first principal component second
principal component
a group:
There was a tendency that the potential for safety management activity was distributed
within a range showing high progressive inclination.
! It seems that we will consider flexibly consider introducing new technologies to
safety management activities as it is.
b group:
Although the potential for safety management activities is high, it tends to be dis-
tributed within the range that shows conservative directionality.
! Since we do not show a positive attitude to efforts beyond the current situation, it is
guessed that an exit strategy is needed to introduce new technology.
Distribution of a group and b group in first principal component third principal
component
a group:
There was a tendency that the potential for safety management activities was high and
distributed in a range that is comprehensive approach.
! It seems that we will consider flexibly consider introducing new technologies to
safety management activities as it is.
b group:
There was a tendency that the potential for safety management activities was high and
distributed in a range that is comprehensive approach.
! With respect to novel initiatives that have no precedent or achievement, we do not
have consciousness of the parties and are not interested, so it seems necessary to show
that the new technology will be useful for safety management activities with an exit
strategy.
Tendency of b group as seen by business characteristics
Service base:
Among the companies classified as the b group, businesses with many users such as
the Tokyo metropolitan area tended to show progressive tendency towards safety
management activities. Also, in the regional cities there were businesses in the b
group. This is because the operators of local cities are strongly connected with the
surrounding areas, so it seems to be because there is a management tier that seeks to
introduce new technology as a strategy to survive as a public service.
Number of employees:
Among the b groups, businesses with a large number of employees saw progressive
trends towards safety management activities and found that they tended to take
comprehensive efforts.
Founding years:
In the b group, businesses that show conservative orientation towards safety man-
agement activities, and who do comprehensive efforts, tended to have a smaller
number of years of establishment. Business owners who have been working for a
short period of time are focused on fostering the safety culture within the organization,
while being deeply rooted, there is no custom, so it is inferred that this is to show
flexible attitudes towards novelty initiatives.
Next, the information that the technology development side presents to the public
service is divided into “information on development technology” and “information on
exit strategy”. “Information on development technology” indicates the contents and the
level of the developed technology, specifically, the explanation and characteristics of the
research purpose and development technology corresponds. On the other hand, “in-
formation on exit strategies” explains the business model assumed to realize the intro-
duction of technology into public services. Therefore, by comparing the texts described
on technology from the two aspects of “development technology” and “exit strategy”,
we will clarify the difference between excellent research institutions and non-research
institutions. Then, by analyzing the exit strategy of the dominant group more finely, we
clarify what kind of business model should be assumed as a good exit strategy.
Based on these results, we organized the business model of the exit strategy that the
technological development side should assume and created guidelines. When assuming
the business model of the exit strategy, it is impossible to eliminate the anxiety of the
public service side with respect to the new technology only by temporary operation
model until the introduction, and to eliminate obstacles to introduction. In order to be
able to manage and operate mainly on public services, there is a necessity to assume a
support system that takes advantage of regional characteristics from a medium- to long-
term perspective.
5 Deliverables (Guidelines)
Guidelines on exit strategy of new technology

1. Purpose
In this guideline, in order to promote the introduction of development technologies
of research institutions, universities and companies in public service safety man-
agement activities, we explain the way of business model to be assumed as an exit
strategy.
2. Symmetric range
2:1. Applicable business operator.
In case these guidelines are targeted at industry, academia and government
officials who intend to introduce technologies to safety management activities
of public services (railway, medical, road). Specifically, the following busi-
nesses are listed as targets.
2:2. Targeted technology
It covers technologies/products that may be used in public service safety
management activities (excluding machines mainly used for general consumer
life).
3. Information to be created
In this chapter, we describe the content of the business model that should be
assumed for the exit strategy of development technology.
In case
3:1. Premise of technology introduction to public service.
Those who think the exit strategy need to consider that safety managers in
public services have poor knowledge of technology and their aggressiveness
toward technology introduction is low. Therefore, simply explaining the high

level of development technology level and research content does not lead to
introduction of technology. We will assume a business model that enables
social implementation called “exit” such as the background to the introduction,
the system to support from introduction to post implementation, and human
resource development of technicians. However, it is not merely an operational
model, but a perspective from the perspective of medium to long term is
necessary.
3:2. Exit strategy business model.
The following 9 business models are supposed to be assumed in the exit
strategy.
1. Intellectual property of technology
2. Standardization and standardization of technology
3. International development of technology
4. Technology introduction platform
5. How to provide technology
6. Promotion of employment
7. Revitalize the area
8. Support for users
9. Public Relations Activities
3:2:1. Intellectual property of technology
We present technologies and outlines of implementing (or studying) intel-
lectual property as an exit strategy. The same also applies if you are applying
for a target country for international development of technology.
Example: We are planning to export technology to Southeast Asia and are
applying for a patent to the target country.
3:2:2. Standardization and standardization of technology
Since standardization and standardization of technology is an important
business tool for prompt dissemination of new technologies and improvement
of reliability, it is assumed as an exit strategy. Also, if there is a possibility of
internationalization of standardization/standardization under consideration, it
is described at the same time.
Example: When introducing the management system of bridge inspection in
Southeast Asia, we are starting to train local universities and local laboratories
and engineers. We are applying to ISO for introducing concrete technology
locally.
3:2:3. International development of technology
Based on international standards and international standards, it is assumed that
a global business model is materialized and leads the world. Maintaining a
system that leads the world permanently in the form of all Japan and proposes
many of the world standards for preventive maintenance is required.
Example: We are working with local universities and field research labora-
tories to train engineers and are preparing to introduce technology to Southeast
Asia. We will introduce the introduction of this case as an introduction stan-
dard, leading to the development to other countries.
Ex.: The university is developing research and educational activities with local
universities in technology exporting countries. As a result, consciousness
reform and consolidation towards asset management in the local area are
planned. Currently working to build a new partnership system centered on
R&D center that we are affiliated with. Ultimately, it will form a compre-
hensive platform including improvement of legal system and human resource
development.
3:2:4. Technology introduction platform
We propose a new management system for the safety management activities of
public services, further develop business to support and manage the system
over the medium to long term and assume a mechanism to establish preventive
maintenance in public service. However, it is necessary to include mechanisms
that can be managed and operated by public services as the main body.
Example: Aiming to improve the efficiency of infrastructure management in
local governments, collaborate with local governments and universities to
build a platform for efficient management. It is a mechanism to support local
governments to manage themselves by utilizing accumulated data efficiently
and enabling integrated analysis and evaluation of data. There are also local
governments that have already been realized, and we respond flexibly
according to the size of the infrastructure and the financial aspect of the client.
3:2:5. Technical provision method
Create a business model for technology usage fee, maintenance fee, etc., and
assume a mechanism capable of concrete image of preventive maintenance.
However, it is necessary to include mechanisms that allow profitability over
the medium to long term.
Example: As elements that can be provided using this technology, (1) Estab-
lishment of inspection system, (2) Establishment of long-term repair plan for
degradation prediction, (3) Inspection service system. We will provide con-
sultation on technology introduction support and technical guidance separately
according to needs through cooperation with universities and private compa-
nies. Consulting is carried out by business acceptance contract. The price is
presented individually according to the contents of the work request, but it
becomes a consulting fee as a comprehensive operation service of ① to ③.
3:2:6. Promotion of Employment
We are assuming a mechanism to nurture personnel who support technological
introduction to safety management activities from the viewpoint of technology
management, human resources who can take charge of new technological
innovation, and human resources who can practice preventive maintenance
development. However, it is necessary to include a mechanism that can
manage and manage appropriate education over the medium to long term.
Example: Provide options to work as a technician or a technical leader even
after retirement, as a supplement to the shortage of workers/carriers. For that
purpose, we are planning human resource development programs and regular
workshops. Furthermore, by introducing this technology, business consultancy
companies can be given business opportunities and employment opportunities
in the region will be promoted.
3:2:7. Revitalizing the Region

Contributing to the revitalization of the region based on preventive mainte-
nance by strengthening the characteristics of the region based on technology
that supports safety management activities, and by developing businesses that
contribute to attracting companies and stimulating tourism Assume a mecha-
nism that can be done. However, over the medium to long term, it is necessary
to include mechanisms that support public services by both high technology
and technical management.
Example: With this automatic discrimination technology, inspection engineers
with little experience can also ensure necessary inspection quality. As a result,
people in the area can carry out inspection work themselves.
Example: The floorboards provided by this institution use materials generated
as byproducts at local thermal power plants as materials and contribute to the
revitalization of local production and local industries.
Example: This technology contributes to the promotion of the local con-
struction industry because it can offer the possibility to conduct advanced asset
management work to regional companies by providing technology to local
consultancy companies. In addition, local governments themselves are carry-
ing out periodic inspections and bridge maintenance cycles themselves, so that
they can develop capacity, such as working as a bridge inspector after
retirement, and provide human resources to the area.
3:2:8. Support for users
We will develop a business that assumes technical guidance and on-site
consultation, including support for nurturing on-site workers, and assume a
mechanism that contributes to improving the technical capabilities of per-
sonnel responsible for preventive maintenance. However, it is necessary to
include a mechanism that can manage and manage appropriate education over
the medium to long term.
Example: We are preparing to establish a new in-campus consortium to dra-
matically promote the use of this developed technology in practice. Based on
the investment of construction companies, business operators and consultants
who use this development technology, we established a consortium in our
university, and from the viewpoint of designing, construction and maintenance
of concrete structures, the accuracy and applicability of this developed tech-
nology Promote verification, implement implementation in practice, and nur-
ture human resources who will be responsible for the technical field.
3:2:9. Public Relations Activities
Through aggressive workshops and events for local governments and business
operators that provide public services, we ask the business model of the exit
strategy not only the content of the technology but also the safety manager to
introduce new technology Assume activities that increase opportunities to
examine.
Example: In our university, technical seminars for municipal officials, con-
struction engineers, high school students, and open symposiums are held in
cooperation with local governments where technology introduction is
advanced. In the future, by conducting demonstration experiments with the

municipality, dissemination of the technology through the media and even the
user’s voice will be used for further improvement.
References
1. ISO/IEC Guide 51 (1999, 2014)
2. Kurata Satoshi倉田聡, Anzen-bunka:sono Honshitsu to Jissen安全文化:その本質と実践,
Nihon Kikaku Kyokai日本規格協会, pp. 71, 101–102 (2014. Print)
3. Tamio Suga管民朗, Tahenryoukaiseki no Jissen:Jou多変量解析の実践:上, Gendai Sugaku-
sha現代数学社, pp. 128–152 (1993, print)
4. Integrated Innovation Strategy, Cabinet Office
5. Science and Technology Innovation Comprehensive Strategy 2017, Cabinet Office
6. Annual Economic Fiscal Report of Heisei 30, Cabinet Office
7. Overall Infrastructure Technology; SIP Strategic Innovation Creation Program (2019)
Cross-Cultural Decision Making
Cross-Cultural Difference of Free Agency
(FA) System Between MLB and NPB
(Nippon Professional Baseball)
Atsuo Murata(&)
Graduate School of Natural Science and Technology, Okayama University,

3-1-1 Tsushimanaka, Kita-Ward, Okayama, Japan
murata@iims.sys.okayama-u.ac.jp
Abstract. This study explored FA system of MLB and NPB, and summarized
the cross-cultural difference of FA between MLB and NPB. First, the cognitive
biases that are observed in common to both leagues were discussed from the
viewpoint of our propensity to inaccurately predict the future. Second, the cross-
cultural difference was discussed from the two viewpoints: (1) difference of
mindset between two leagues, and (2) difference of authority of commissioner
between two leagues. Finally, it was proposed how inefficiencies in baseball
markets in sports management (failure in FA) should be avoided for the coex-
istence of teams and the prosperity of the league.
Keywords: Handicapped competition Inaccurate prediction of future

Cross-cultural difference MLB NPB FA Wa (harmony)
Authority of commissioner
1 Introduction
In Lewis [1], referring to the success of Oakland Athletics, pointed out irrational
behaviors [2–12] in team management in MLB out. Lewis [1] showed that taking into
account cognitive biases and behaving rationally enabled poor teams to get more wins.
Such a phenomenon can be explained in the framework of cognitive biases (Murata
[12]). Gathering excellent players does not necessary assure more wins in professional
sports leagues. Many cognitive biases such as the curse of the Bambino, home field
advantage [13–22] are well known in sports.
Murata [12], using a comparative study between MLB and NPB, explored and
identified a variety of biases from the viewpoints of cross-cultural differences.
Although he pointed out FA is greatly different between MLB and NPB, he did not
mention the reason why the cross-cultural difference is observed between the two
leagues.
In MLB, FA was established to remove restriction on transfer to a different team
and equalize the competitive power of each team. However, it seems that FA in NPB
does not work sufficiently to achieve its inherent role or function to equalize the
competitive power in each team especially in Japan. It has been speculated that
the reason for this must be a variety of cognitive biases. This study explored the

https://doi.org/10.1007/978-3-030-20145-6_56
562 A. Murata
cross-cultural difference of FA system between MLB and NPB, and summarized the
cross-cultural difference of FA between MLB and NPB. First, the cognitive biases that
are observed in common to both leagues were discussed from the viewpoint of our
propensity to inaccurately predict the future. Second, the cross-cultural difference was
discussed from the two viewpoints: (1) difference of mindset between two leagues, and
(2) difference of authority of commissioner between two leagues. Finally, it was pro-
posed how inefficiencies in baseball markets in sports management (failure in FA)
should be avoided for the coexistence of teams and the prosperity of the league.
2 FA System in MLB and NPB
2.1 Principle in Professional Sports League

Professional sports leagues such as MLB and NBA are fated to compete and aim at the
championship under handicapped competitive environment. If a team disappears from
the league under free competition as observed in free markets, the league cannot
maintain itself and cuts its own throat. In other words, the principle of free market is not
applicable to professional sports leagues. As shown in Fig. 1, professional sports
leagues must aim at coexistence of all teams under such environment (handicapped
competitive environment).
To this end, equalization of competitive power of each team is required for each
league. Equal redistribution of profit by the commissioner or FA is one of the means to
equalize the competitive power of each team. FA was established to remove restriction
on transfer to a different team and equalize the competitive power of each team. FA
systems in MLB and NPB were established in 1976 and 1993, respectively. FA sys-
tems in each league are stated briefly.
Professional sports league

Based on Handicapped competition
They are fated to compete and aim at the championship
under handicapped competitive environment. If a team
disappears from the league under free competition as
observed in free markets, the league cannot maintain itself,
and cuts its own throat.
Aim at coexistence of all teams under such environment
Equalization of competitive power of each team
*Equal redistribution of profit by the commissioner

*FA: Removal of restriction on transfer to a different team
Fig. 1. Principle of handicapped competition of professional sports league.

Cross-Cultural Difference of Free Agency (FA) System Between MLB and NPB 563
2.2 FA in MLB
In professional sports leagues such as MLB, NFL, or NBA, under the constraint of free
competition and free price, each team is fated to compete and aim to win the cham-
pionship. An ideal competition in professional sports leagues is to equalize the com-
petitive power of each team and make a very exciting situation for fans that is uncertain
which team wins the championship.
The outline of FA system (established in 1976) in MLB is summarized in Fig. 2.
The FA system in MLB concludes a collective labor agreement between MLB com-
missioner and players. It also concludes a unified player contract between players and
professional baseball teams. The commissioner secretariat delegates their authorized
right and activities such as broadcasting rights of national TV and radio network, sales
of DVD & Blue-ray disk, merchandizing, sponsorship, special event such as fan festa,
publishing, or Internet to a property custodian. There exists the board of governor
between commissioner secretariat and the professional baseball teams. The following
rights and activities are delegated to each team: sales of tickets, broadcasting rights of
local TV and radio network, advertisement within a ballpark, official pamphlet, goods
sales in a ballpark, and fan club. The commissioner secretariat has a variety of
authorities to manage MLB under the control of the board of governor.
<<Management>> <<Labor>>
Collective labor agreement
Commissioner secretariat Players association
Image rights
(endorsement)
Board of governor
Unified player contract
Property custodian <<Capital>>

・Broadcasting rights of national
TV and radio network Professional baseball team
・Sales of DVD & Blue-ray Disk
・Merchandizing ・Sales of tickets
・Sponsorship ・Broadcasting rights of local
・Special event such as fan TV and radio network
festa ・Advertisement within a
・Publishing ballpark
・Internet ・Official pamphlet
・Goods sales in a ballpark
・Fan club
Fig. 2. Relationship between players, team, and commissioner in MLB.
2.3 FA in NPB
The system of NPB is different from that of MLB as shown in Fig. 3. The FA system in
NPB does not conclude a labor agreement between MLB commissioner and players. It
also does not conclude a unified player contract between players and professional
baseball teams, and merely concludes a player contract between the two. Unlike MLB,
the commissioner secretariat in NPB does not have authorized right and activities such
564 A. Murata
as broadcasting rights of national TV and radio network, sales of DVD & Blue-ray
disk, merchandizing, sponsorship, special event such as fan festa, publishing, or
Internet to a property custodian. Such rights are owned by the professional baseball
team. As shown in Fig. 3, some of these rights are delegated to a parent company or a
subsidiary company of each team. The commissioner secretariat has only limited rights
to hold special events such as all star game and Japan Series corresponding to World
Series in MLB. Instead of the board of governor, there exist the board of owners of the
teams between commissioner secretariat and the professional baseball teams. This
board has substantially strong and mighty authority to determine everything as it
desires. The authority of commissioner in NPB is by far smaller than that of MLB. The
income and outgo of commissioner between MLB and NPB are compared in Table 1.
It is clear that the commissioner in NPB have few rights as compared to those in MLB.
Without labor agreement

Players association
Commissioner secretariat & Players
Special events
Image rights
(All star game
(partly)
(Japan series)
Player contract
Board of team owners
Parent company & Professional baseball team

subsidiary company
・Broadcasting rights of
・Sales of tickets national & local TV and radio
・Sponsorship (partly) network
・TV & radio broadcasting ・merchandizing
・Sponsorship
・Fan club
Fig. 3. Relationship between players, team, and commissioner in NPB.
Table 1. Difference of authority of commissioner between MLB and NPB viewed from incomes
and outgoes.
Income Outgo
MLB commissioner
Broadcasting rights of national TV and ratio network Administration costs of secretariat
Royalty of DVD & Blue-ray Disk Personnel expense of secretariat
Royalty of merchandizing Expenses for lawsuit, trade mark registration, etc.
Sponsorship fee Expenses for Pr and promotion
Footage sales & fee of image rent Maintenance expenses for images
Profit of special event such as fan festa Maintenance expenses for DVD & Blue-ray Disk
Profit of publishing Equal distribution of profit to each team
NPB commissioner
All star game Administration costs of secretariat
Jpan series Personnel expense of secretariat
Membership dues from each professional base ball team Reserve fund for players
Sponsorship fee Event such as awards ceremony subsidy
Although FA was later (in 1993) established even in NPB, there is still a team to
which no player transferred via FA system as shown in Table 2. The number of FA
transferred players is dispersive among teams. Such a system does not satisfy the
condition mentioned in Sect. 2.1. It cannot help saying that NPB uses FA not to
equalize the competitive power of each team, but to invite a excellent player to a rich
team and promote inequality of team’s competitive power.
Table 2. Number of players accepted via FA in NPB (from 1993 to 2018).

Pacific League Numbers of players accepted via FA
Tokorozawa Lions 3
Fukuoka Hawks 13
Sapporo Fighters 1
Kobe Baffaloes 7
Chiba Marines 3
Sendai Eagles 4
Central League Numbers of players accepted via FA
Hiroshima Carp 0
Tokyo Swallows 4
Tokyo Giants 26
Yokohama Bayastars 11
Nagoya Dragons 7
Osaka Tigers 9
NPB started FA in 1993 (from 1993 to 2018)
Another problem in NPB is that players who transferred to other team via
Japanese FA system rarely play better after the transfer. The players barely perform
better in the new team than in the old team. Eventually, they are forced to retire earlier
than expected.
Such a difference must stem from the cross-cultural difference of mindset toward
FA between US and Japan. The cross-cultural difference between two leagues is dis-
cussed in more detail below (Sect. 3). The promotion of FA is compared to a double-
edged sword. While it has an advantage that the competitive power is equalize for all
teams that belongs to the league, it has a disadvantage that the annual salaries of FA
players increase to a larger extent. As MLB has an equal redistribution system of profits
by the commissioner, this, to some extent, enables each team to afford to accept FA
transferred players, and FA is utilized by all teams. On the other hand, NPB league
doesn’t have the redistribution system like MLB. The major gap of profits apparently
exists between teams. So, only the teams with high profits afford to accept FA trans-
ferred players. This eventually widens the gap of competitive power. Thus, there is a
team which has never accepted FA transferred players since the establishment of FA
system in NPB (see Table 1). Such a difference between the two leagues must be firmly
recognized.
566 A. Murata
2.4 Failure of FA in Both MLB and NPB-Reason Why Both Leagues Fail
in FA (Cognitive Biases in Prediction of the Future)
Damasio [25] pointed out the importance of emotion in decision making, and
demonstrated that we cannot make decision if we don’t use emotion. The memory of
failure as knowledge and the corresponding emotion stored in somatic marker makes it
more effective to remember and learn from the failures so that similar ones are not
repeated.
Gilbert [26] pointed out the disadvantage of emotion and showed that emotion
could distort our memory and store wrong knowledge or information into our memory.
The recognition on how we behaved in the past is to a larger extent affected by
ambiguous and blurred memory. This harms our ability to learn appropriately from past
failures.
Although the future is stored similarly as the past, these are apparently different
from the actual experience at the present. This indicates that the prediction of future
emotion to an event is unclear and blurred (Gilbert [26]). Our brain tends to com-
pensate for the unimportant and unrealized details and leave the important and realized
details. Therefore, it is difficult to speculate how the future is different from the present.
In other words, it is impossible to predict the future accurately. It is believed that one
solution to overcoming this disadvantage is to ask people who is about to experience
our future event to provide us with the information on their experience. This enables us
to predict the future to some extent. However, due to independence of ourselves, there
are many cases where we cannot scrutinize others’ failure or good practice for pre-
dicting the future accurately.
It is not until we overcome this disadvantage that we can appropriately predict the
future accurately to some extent. The basis and evidence of our brain’s property to
compensate for the future unimportant and unrealized details and leave the future
important and realized details can be pointed as follows. When we investigate the cause
and effect relationship between events A and B, we frequently pay attention to events A
and B and fail to think of not A and not B. Although we readily notice similarities, it is
difficult for us to notice dissimilarities. The causes pointed out here can be attributed to
the following human’s irrational property: Humans fail to deliberate future safety by
predicting and imagining appropriately the future and recognize the importance of
learning from failure history without self.
In this manner, it might be concluded that both MLB and NPB teams fail to predict
the future performance of FA transferred players, and frequently fail in FA. As well as
the inaccurate prediction of future, it seems that NPB further suffer from the cross-
cultural differences mentioned below in managing FA system. As shown in Fig. 5,
ignorance of uncertainty, availability and optimistic biases when choosing free agent
players, together with the inaccurate prediction of the future achievement of free agent
transferred players must lead to fallibility in accepting FA transferred players. Rather,
it might be more appropriate to express that inaccurate prediction of the future
achievement of free agent players is triggered by ignorance of uncertain of players’
achievement and availability and optimistic biases.
No recognition of the inherent purpose of FA
Cognitive biases (representativeness, confirmation bias)

concerning FA transferred players
⇒The achievements of FA transferred players barely get
better as compared with that before FA transfer.
Difference of mindset: “Wa” peculiar to NPB =No complaints

about an ineffective and unfair FA system
⇒ Groupthink of board of owners
Less authority of NPB commissioner

⇒Cooperation as a whole league is necessary for the survival
and prosperity of the league. To this end, a strong leadership
by the commissioner is indispensable.
“the profit not for individual teams but for the league as a whole”
Difference of FA system between MLB and NPB
Fig. 4. Reason why there arises a difference of FA system between MLB and NPB.
3 Discussion on Cross-Cultural Difference Between MLB

and NPB
As shown in Fig. 4, the difference of FA system and the degree of function of FA

throughout the league between MLB and NPB can be attributed to the following
factors:
(1) No recognition of the inherent purpose of FA.
(2) Cognitive biases (representativeness, confirmation bias) concerning FA trans-
ferred players: The achievements of FA transferred players barely get better as
compared with that before FA transfer.
(3) Difference of mindset: As “Wa” peculiar to NPB means no complaints about an
ineffective FA system, this promotes groupthink of board of owners.
(4) Less authority of NPB commissioner: Cooperation as a whole league is necessary
for the survival and prosperity of the league. To this end, a strong leadership by
the commissioner is indispensable. However, this is never realized in NPB.
Although the profit of professional sports league should be not for individual
teams but for the league as a whole, this is not recognized especially by NPB.
3.1 Difference of Mindset Between Two Leagues

Whiting [23, 24] discussed the difference of baseball culture between MLB and NPB.
While NPB seems to be based on the creed represented by the word “Wa” (group
harmony), MLB pays emphasis on concentration and individualism. Therefore, Japanese
baseball fans regard individualism as a fatal flaw in adaptation. American players must
adapt to such “Wa” (group harmony)-based aspects of NPB.
568 A. Murata
Table 1 shows the accumulated number of players transferred via FA system. FA in

NPB does not work for the equalization of competitive power of each team. Such a
state is never observed in MLB. As mentioned in Sect. 3.3, such a cross-cultural
difference of mindset might stem from the cognitive biases such as confirmation bias,
omission bias, framing, and groupthink.
3.2 Difference of Authority Between Two Countries

The problem behind inefficient FA system is the NPB’s commissioner has less
authority. While the commissioner has supreme authority to manage MLB, NPB’s
commissioner is less authoritative than owners of NPB teams. The difference of
mindset between two leagues underlies this difference. In other words, the difference of
mindset between two leagues seems to contribute to such a difference of commis-
sioner’s authority between two leagues to some extent.
As well as the difference of mindset between two leagues, such a difference might
stem from confirmation bias, omission bias, framing, and groupthink.
3.3 Cognitive Biases that Lead to Cross-Cultural Difference

Between MLB and NPB
The framing, confirmation bias, omission bias, groupthink, and biases in decision
making (DM) under uncertainty are discussed as causes of creating the difference
between two leagues above mentioned.
The rational thinking in sports management should be as follows:
(1) The leveling of team profit and competitive power is a sufficient condition of
league prosperity: This concept is never understood.
(2) Monopoly of the championship by a specific team does not lead to the prosper-
ity of the league.
(3) The leveling of the competitive power creates an exciting league and fascinates
many fans.
Contrary to such a rational way of thinking, NPB, in particular, judges that the
optimization and maximization of the profit of a team leads to the prosperity of the
league.
We can observe the following confirmation bias that an increase in own team’s
competitive power fascinates many fans and makes a league prosper. Furthermore,
teams tend to suffer from cognitive biases (confirmation bias, representativeness bias,
and optimistic bias) that high achievement of a player at an old team reflects high
achievement at a new team. Because of such cognitive biases, the followings are never
recognized at all. Although the performance of FA transferred players is usually
declining during long-term contraction, the teams frequently misunderstand that high
achievement of FA transferred player at an old team does necessarily lead to a satis-
factory activity at a new team that deserves high salary. This tendency seems to be
more dominant in NPB.
It appears that there are unexpected cases where both action and inaction lead to
cruel consequences. NPB is actually uncertain whether adopting MLB’s FA system to
equalize the competitive power of each team is successful. So, they must be uncertain
about whether action (adoption of MLB’s FA system) or inaction leads to different
results. This corresponds to the well-known omission bias. So, got trapped into such a
bias, owners of NPB team will not delegate strong authority on a commissioner to
enhance the prosperity of the league. There are no members in the board of owners who
complain about an inefficient FA system that is far from an ideal and rational system to
enhance the prosperity of the league. This situation is based on “Wa” (tradition peculiar
to Japan). This might correspond to the well-documented groupthink. As long as such a
situation lasts, it is impossible for NPB to establish an appropriate FA system that
attempt to prosper the league as a whole.
It is indeed uncertain whether high achievement of a player at an old team ensures a
satisfactory activity deserving high payment at a new team. It seems that both MLB and
NPB are fallible and vulnerable to a variety of cognitive biases mentioned above in
decision making on acceptance of FA transferred players under such an uncertain sit-
uation. In spite of this, MLB and NPB teams frequently fail in FA and accept many
players who cannot achieve satisfactorily as in an old team. Fallibility in predicting the
future performance of FA transfer candidate players (For more detail, see Sect. 2.4)
causes a major failure in FA and fails in the enhancement of competitive power of the
team.
The weakness of authority and rights conferred on the commissioner in NPB must
give rise to the biases above, which causes the insufficient FA system that is contrary to
the principle of equalization of competitive power of each team under the handicapped
competition.
3.4 How FA Should Be in the Future

The discussion above can be summarized in Fig. 5. The cognitive biases mentioned in
this study, that is, the inaccurate prediction of future, and the cross- cultural differences
between the two big professional baseball leagues in the world, which stems from
confirmation, representativeness, optimistic, omission biases and groupthink (Japanese
“Wa” culture), should be recognized appropriately and paid attention to in order to
promote more rational and inherent FA system for the coexistence of teams and
prosperity of the league. Especially, NPB should delegate more authorities to the
commissioner secretariat so that they can be released from such cognitive biases.
Without such recognition, it is impossible to make the league prosper under the
handicapped competition peculiar to professional sports leagues. As its is difficult to
predict the future achievement of FA transferred players, FA systems should be more
reasonable to pay them according to payment by results, that is, on a piecework basis so
that a large amount of money should not be wasted.
570 A. Murata
Failure of FA in both MLB and NPB

・Inaccurate prediction of the future: irrationality
Cross-cultural difference between the two leagues

(i)Difference of mindset toward FA between the
two leagues: irrationality
(ii) Difference of authority of commissioner
between the two leagues: irrationality
Establishment of rational FA system for

coexistence of teams and prosperity of the league
that overcomes the irrationality of FA at present
Fig. 5. Summary of the study.
4 Conclusions
This study explored FA system of MLB and NPB, pointed out a cognitive bias in
prediction of the future that is observed in common to both leagues, and further
discussed the cross-cultural difference of FA between MLB and NPB. First, the
principle of handicapped competition in professional sports leagues were outlined, and
FA systems in both MLB and NPB were summarized. Second, it has been shown that
the cognitive bias, that is, inaccurate prediction of the future leads to the failure of FA
(overpayment for FA transferred players who do not perform better so that their
payment deserves higher payment). Finally, the cross-cultural difference of FA between
MLB and NPB was pointed out, and the reason of such a difference was discussed from
the two viewpoints: (1) difference of mindset between two leagues, and (2) difference
of authority of commissioner between two leagues. Finally, we discussed how ineffi-
ciencies in baseball markets should be avoided for the coexistence of teams and the
prosperity of the league.
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Language and Cultural Learning in a
Short-Term Study Abroad: An Investigation
of Japanese Sojourners in Canada
Chihiro Tajima(&)
Faculty of Intercultural Communication, Gakushuin Women’s College,

3-20-1 Toyama, Shinjuku-ku, Tokyo, Japan
chihiro.tajima@gakushuin.ac.jp
Abstract. The present study aimed to examine whether four weeks of short-
term study abroad (SA) was effective in promoting second language (L2) pro-
ficiency gain, the development of affect such as L2 willingness to communicate
(WTC) and L2 motivation, and a reduction in L2 anxiety. This study investi-
gated proficiency test results and multiple questionnaire results collected before
and after the four-week SA experience. 29 Japanese university students studying
English in Canada participated in the study. The results showed that the par-
ticipants made gains in L2 proficiency, developed L2 WTC and L2 motivation,
and reduced L2 anxiety levels after studying abroad for four weeks in Canada.
This study is a part of a bigger longitudinal research project, in which short-term
SA in traditional destinations such as Canada, and short-term SA in non-English
speaking destinations such as the Philippines are compared.
Keywords: Second language acquisition Willingness to communicate

Motivation Language anxiety Intercultural communication
1 Introduction: Situating This Short-Term Study Abroad

(SA) Research
The length of short-term study broad (SA) has shortened over the last few decades [1].
In the 1970s, short-term SA meant as long as one year, but it is now less than a
semester, e.g., one to eight weeks. In this paper, short-term SA means learners are
abroad for four weeks. One of the shortcomings of short-term programs is reported as
being the difficulty of maintaining the educational quality [2]. In other words, what is
acquired through short-term SA tends to consist of intercultural experiences, rather than
second language (L2) proficiency gain and affect surrounding L2 proficiency.
The present study is “phase two” of a bigger research project. The key aim of the
larger research project is to clarify the differences between the outcomes of short-term
SA in non-English speaking contexts such as the Philippines, and traditional SA
destinations in English speaking contexts such as Canada. In “phase one”, the author
reported the outcomes of short-term SA in the Philippines [3]. The present study,
“phase two”, reports the outcomes of short-term SA in Canada. A future investigation,
the “final phase”, will compare and contrast the findings from “phase one” and “phase

https://doi.org/10.1007/978-3-030-20145-6_57
Language and Cultural Learning in a Short-Term Study Abroad 573
two”. As such, the literature review of L2 learning in SA context and development of

affect through SA are summarized in the report of “phase one” of the research project
as noted above.
2 Method
2.1 Research Purpose

This study considers the shift from longer SA to short-term SA, and examines whether
four weeks of SA in a traditional SA destination is long enough for proficiency gain
and improvement in affect, such as L2 Willingness to Communicate (WTC), L2
motivation, and reduced L2 anxiety.
WTC was conceptualized by MacIntyre et al. [4] as the idea that L2 learners who
are willing to communicate in L2 look for chances to communicate, and further, they
actually communicate. Language anxiety in this study means apprehension of speaking
in L2 [5]. Motivation refers to having four elements: a goal, desire to achieve the goal,
a positive attitude, and effort [6]. Also, motivation includes integrative motivation [7],
which means wishing to communicate with the local people.
The aim is to collect proficiency test scores and questionnaire data at pre and post
SA stages to measure the effect of short-term SA in an English-speaking context.
2.2 Research Questions

Considering the purpose and the aim, this study came up with four research questions:
(1) Is four weeks of SA in Canada enough for learners to improve their English
proficiency? (2) Is four weeks of SA in Canada enough for learners to develop affective
factors of L2 WTC? (3) Is four weeks of SA in Canada enough for learners to develop
affective factors of L2 motivation? (4) Is four weeks of SA in Canada enough for
learners to have reduced L2 anxiety?
2.3 Participants’ Homestay and English Instruction

29 Japanese students in two universities in Japan participated in this study. They were
females between 18 to 22 years old. Based on their English proficiency test scores
when they entered university, they were elementary to intermediate level learners of
English (TOEFL equivalent scores between 340 and 490). Many students were limited
in their opportunity to use English outside of their university English classes. The main
motivation for choosing a short-term SA program was that it was organized and run by
their home university and they were able to earn credits. The number of credits was
between two and four, depending on the home universities’ regulations. In addition,
there was no risk of losing a semester at the home university nor falling behind in their
academic career, since it took place during the break time between semesters.
The SA programs were situated in Canada. One destination was in the Province of
British Columbia, and the other destination was in the Province of Alberta. All students
did a homestay for a period of four weeks.
574 C. Tajima
The 29 learners were exposed to three to six hours of English instruction in the
classroom per day for four to five days a week for four weeks. The amount of
instruction differed slightly depending on the SA program. In addition, during the four
weeks, the participants participated in activities run by the host university, such as
sightseeing visits and cultural tours. Many of them participated in an overnight
sightseeing trip organized by the host university.
2.4 Measurement Instruments Used

The study used the four measurement instruments listed in Table 1. All four instru-
ments were used to collect data at pre-departure and at post-return. There was a one-
month time lag at post-return because participants were on summer break and arranging
to meet them during the break time was not possible. For full details of the mea-
surement instruments used, see “phase one” of the research project [3].
Table 1. Pre-departure (about two weeks prior to departure) and post-return (one week to four
weeks after returning) data.
Measurement Instruments Used at Pre-Departure and Post-Return

1. English proficiency test
(Computerized Assessment System of English Communication: CASEC) [9]
2. WTC questionnaire
3. Language anxiety questionnaire
4. Motivation questionnaire
3 Results
In order to determine whether the data for each of the measures were normally dis-
tributed, z-scores of kurtosis and skewness were used. As this was a large sample size
[9] a threshold of 2.58 was used. The z-scores of kurtosis and skewness for each of the
measures fell within this range. There were found to be no outliers.
3.1 L2 Proficiency Outcomes

The first research question is related to L2 proficiency outcomes from a four-week SA
in Canada. The Cronbach’s alpha reliability for the L2 proficiency test (CASEC) scores
has been found to be in a .96 to .98 range [10]. According to the result of the paired
samples t-test, the research participants, on average, achieved significantly higher
CASEC scores after the short-term overseas (M = 554.83, SE = 12.84) than before SA
(M = 537.86, SE = 14.68), t(28) = −2.15, p < .05, r = .14) (Table 2).
Table 2. Descriptive statistics for pre and post L2 proficiency.

N Mean SD Min. Max Skew Kurt
Pre CASEC 29 537.86 79.07 299.00 667.00 −.98 1.70
Post CASEC 29 554.83 69.13 435.00 695.00 .25 −.16
3.2 L2 WTC Outcomes

Research question two involved investigating the non-linguistic development of WTC.
The scores from the WTC questionnaire collected at pre-departure and post-return went
through screening before the main analysis. The Cronbach’s alpha reliability was found
to be satisfactory for the WTC questionnaires (pre-departure: a = .79, and post-return:
a = .80) as presented in Table 3. The result of the paired samples t-test indicates that
the participants, on average, had significantly greater L2 WTC after a four-week SA
experience (M = .57, SE = .16) than before (M = .48, SE = .16), t(28) = −2.65,
p < .01, r = .20). The result shows that learners developed their L2 WTC after
studying abroad for four weeks (Table 4).
Table 3. Descriptive statistics for pre and post L2 WTC.

N Mean SD Min. Max Skew Kurt Alpha
Pre WTC 29 .48 .16 .15 .75 .09 .84 .79
Post WTC 29 .57 .16 .13 .90 −.51 1.21 .80
Table 4. Descriptive statistics for pre and post L2 movitation.

Pre motivation 29 .68 .18 .33 1.0 .40 −.68 .85
Post motivation 29 .74 .14 .43 1.0 −.48 −.14 .74
3.3 L2 Motivation Outcomes

Research question three referred to the increase in learner motivation. The question-
naire scores of motivation at pre-departure and post-return were screened before the
main analysis. The Cronbach’s alpha reliability values for the questionnaire were
satisfactory (a = .85, and post-return: a = .74) as listed in Table 5.
The paired samples t-test result indicates that participants had, on average, sig-
nificantly higher levels of motivation after studying abroad (M = .7368, SE = 16.70)
compared to before SA (M = .6793, SE = 16.50), t(28) = −2.61, p < .01, r = .20). The
result is evidence of the development of learner motivation after short-term SA.
576 C. Tajima
3.4 L2 Anxiety Outcomes

The final research question focused on the affective factor of L2 anxiety. L2 anxiety
questionnaire scores were screened before the main analysis. The Cronbach’s alpha
reliability values were satisfactory (pre-departure: a = .93, and post-return: a = .89) as
shown in Table 5. The result of the paired samples t-test indicates that, after studying
abroad, the participants on average had significantly less language anxiety (M = .5448,
SE = 16.70) than before (M = .6845, SE = 16.50), t(28) = 3.14, p < .01, r = .26). The
result is evidence of the learners lowering their language anxiety after four weeks of
studying abroad.
Table 5. Descriptive statistics for pre and post L2 anxiety.

Pre anxiety 29 .68 .27 .10 1.00 −.74 −.57 .93
Post anxiety 29 .54 .26 .20 .95 .12 -1.50 .89
4 Conclusion and Future Investigation
The present research confirms that four weeks of SA in Canada was effective in
improving L2 proficiency and also improving the levels of affective factors, such as
L2 WTC, L2 motivation, and L2 anxiety. However, a limitation of the study is that all
29 participants were female and had a similar proficiency level. Therefore, caution
should be used in interpreting the results.
This study is “phase two” of a larger research project to compare and clarify the
differences in the two types of SA destinations: traditional SA destinations like Canada
and non-traditional destinations like the Philippines. A future investigation, the “final
phase”, will identify the characteristics of each type of short-term SA. Further, the
differences of outcomes and learner experiences will be described to draw the impact of
both types of short-term SA. The same measurement instruments in “phase one” and
“phase two” are used throughout the entire research project, which will allow com-
parison in the “final phase”. Further, in the “final phase” of the research project,
qualitative data regarding learner experiences of language use and perspectives on
affective factors will be added to illustrate the quantitative findings of “phase one” and
“phase two”. The completion of this research project will provide a critical under-
standing of truly complex interconnection of L2 proficiency, affective factors and
language use in different SA contexts.
Acknowledgments. The present paper is “phase two” of a longitudinal research project to

compare and contrast short-term SA programs in traditional SA destinations and non-English
speaking SA contexts. The project is funded by the Ministry of Education, Culture, Sports,
Science and Technology Japan, Grants-in-Aid for Scientific Research, Research (C), Grant
number: 16K02984. The present paper is “phase two” of the research project. Finally, the author
would like to thank Dr. Paul Joyce at Kindai University, Japan, for providing support for
statistical analysis throughout the entire research project.
References
1. Kauffmann, N.L., Martin, J.N., Weaver, H.D.: Students Abroad, Strangers at Home:
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Hoffa, W.W., Martin, P.C. (eds.) NAFSA’s Guide to Education Abroad: For Advisers and
Administrators, pp. 373–387. Mobility International, Washington, DC (2005)
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in Training, Education, and Learning Sciences, pp. 430–442. Springer, Switzerland (2018)
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(4), 545–562 (1998)
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Schmidt, R. (eds.) Motivation and Second Language Acquisition, pp. 1–19. University of
Hawaii Press, Honolulu (2001)
8. CASEC.: Computerized Assessment System of English Communication, Computer
Adaptive Test (CAT). Japan Institute of Educational Measurement, Tokyo (2009)
9. Hogg, R.V., Tanis, E.A.: Probability and Statistical Inference, 7th edn. Prentice Hall, Upper
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Beijing, China (2004)
English Education for Young Learners
in China and Europe
Pingfang Yu, Jiali Du(&), and Xinguang Li
Guangdong University of Foreign Studies, Guangzhou 510420, China

dujiali68@126.com
Abstract. This paper discusses the strategy and policy on English Language
Teaching (ELT) for young learners in China and Europe. ELT for very young
learners is a double-edged sword. Before the establishment of native language
acquisition, alien system plays a competitive role. Chinese and English belong
to different families while many European languages belong to similar families.
The competition between Chinese and English is fiercer than one among
European languages. Chinese learners are encouraged to start English education
at age nine when Chinese acquisition is nearly completed while European
learners are allowed to begin as young as possible. An effective ELT method
promotes the development of cultural diversity and social cohesion, and
strengthens the sense of individual and national identity of young learners.
Keywords: English language teaching English education Confucianism
1 Introduction
English education at primary school is now compulsory in most regions of China and
Europe. With the enforcement of the official document in 2001, early English education
is gradually on the upsurge in China. In promoting English education as a second
language, the Ministry of Education of China in 2001 signed An Action Plan for
Primary English Education (Jiào jī èr hào) (http://www.gov.cn/gongbao/content/2001/
content_61196.htm), which expressed official intent to develop English education from
the third grade of primary education (between nine and 11) throughout China except
some specific region where Russian and Japanese education were traditionally regarded
as the first foreign language education. The official document identifies early English
education as an important action to promote the development of cultural diversity and
social cohesion, and to bring a sense of national identity.
In Europe, some countries, e.g. Malta, Norway, Belgium (German-speaking
community), Germany (Baden-Württemberg), Italy and Austria, set out the govern-
ment’s policy framework on foreign language education, in which the first foreign
language is compulsory from age one. Four countries, i.e. Luxembourg, Estonia,
Sweden and Iceland, even make second foreign language education compulsory. Some
schools are sufficiently flexible to select the starting age in some counties according to
pupils’ interests. For example, starting age is limited to between seven and nine in
Estonia, and between seven and ten in Sweden.

https://doi.org/10.1007/978-3-030-20145-6_58
English Education for Young Learners in China and Europe 579
Both family and school are equally important in young learners’ education. A great
boom in English education for pupils has been accompanied by large claims for how
and what a very influential educator can do even though it is sometimes considered that
the primary and natural educator of the child is the family. All parents, authoritative or
hard-pressed, are far more likely to facilitate the development of competence and self-
reliance in young children by providing substantial financial support required during
English education. They hope the long-term English training can enhance their chil-
dren’s independent behaviour and bring a new confidence and competence. However,
the fact is that children’s behaviour is different from mature adult behaviour, and
English teachers have to direct the progress of young learners even though a few
scholars suggest that such direction may impede the natural learning processing of
young learners. Educators besides parents are responsible for the improvement of
pupils’ English education.
2 Effectiveness and Efficiency in Young Learner Education
Sufficient contact time is necessary in young learner education. With the development
of early English education, more contact time is provided by the family by means of
various methods. For example, parents try their best to make their children taught as
young as possible. The average time of learning increases due to lowered starting-ages
both in China and Europe. Even though sometimes the increase of absolute time
develops the language skill, the young pupils feel under very high overburden pressure.
Therefore, more concern should be given to the effectiveness and efficiency in young
learner education.
Parental pressure advances English education further in China. It is acknowledged
that parental pressure in mainland is one of the key factors to foster the expansion of
early English education since parents think a good early beginning is half-done in
language learning. Early language learning has greatly developed since the Action Plan
(2001) signed by the Ministry of Education was published. English teaching from
Grade Three is increasingly common throughout mainland, and most parents do not see
it as superfluous overburden to young pupils. They make their children speak fluently
in English by forcing them to follow different English courses as young as possible.
Having paid tuition fees, parents would ask the primary schools or tutors to provide
English lessons intensively and ask the individual tutors to provide additional modern
English education outside the school, which consequently brings a faster implemen-
tation of early ELT than expected and drives an increase in testing all through the
mainland. According to the statistics, approximately 50% of primary pupils learn
English or another foreign language before the third grade. Hope springs eternal
optimism in the parents’ breasts. Parents pay for listening, speaking, reading and
writing courses for the young pupils and they hope young English learners spend their
entire lifetime on studying in order to be respected for themselves and families, which
can attach great importance to the family line expected to be stretched further and
better. If English at primary school is to be dropped, parents will worry over the ability
of their children and over whether they are able to hold their own in the jungle of
580 P. Yu et al.
career-making since modern economies place a premium on educated employees who

need retain a thirst for knowledge of English.
The general trend for foreign language learning in primary education is to start
earlier and offer more years for the young language learners in Europe. A few countries
make the starting age at the kindergarten stage. For example, both Spain and German-
speaking part of Belgium require early language education activities to start at age
three. The education of French and German in Luxembourg is called foreign language
education even though both languages are official languages and nearly all the children
begin learning in age two. In some countries, e.g. Finland, school heads and school
boards are asked to provide a non-compulsory foreign language to pupils aged 10–11
and to increase the minimum hours per week.
A favourable outcome of language leaning depends heavily on the model of cur-
riculum adopted by the teachers. The good pedagogical principles can even reflect
underlying philosophical values such as citizenship and respect for others. Therefore,
an effective model and a helpful curriculum bring considerable advantages to young
learners. For example, a good model can for the pupils provide a supportive envi-
ronment, drive initial motivation seeming mostly to be intrinsic, and offer great value
and fun coming from languages to which children have access in their own locality.
Besides the model, curriculum can enhance the effectiveness. In China, Offering
English education at the third grade is not inherently advantageous and effective unless
the English teachers are good at working with pupils, language classes are small
enough, the language material is adequate and pupils are given sufficient time for
practice in the curriculum. In addition, age, sex, and verbal IQ interact to affect English
absorption [1]. Besides the elements discussed above, the effectiveness of early lan-
guage education is also determined by the factors below: starting age, perceived
intensity, availability or appropriate materials, financial input, social settings, specific
organizations, teachers’ L2 proficiency, class-size and classroom practice, amount of
continuing professional development support for teachers, the degree of exposure to the
L2 outside the school, the degree of political willingness, availability of national
funding, societal attitudes to other-language groups, etc. The effective model and
curriculum bring high-quality practice which helps practitioners understand the beauty
of English and consequently make the young learners enjoy the active teaching.
Each English educator has to be qualified to become an effective teacher.
According to the document signed by the Ministry of Education, there are few concrete
regulations requiring teachers to study abroad even though all the English teachers at
primary school should at least be the graduates of Middle Normal Schools. However, in
a few European countries, e.g. Luxembourg, the special training teachers at primary
schools have to go abroad to learn the new educational strategy.
Four traditional skills of English education are not fully involved in primary
education in China and in some European countries. According to the official document
in China, priority should be given to listening and speaking, which are emphasized
from the third grade. Pupils are not urged to intensively focus on reading and writing
before the fifth or sixth grade (between 11 to 12). Reading performance may be
explained as the result of applying the same learning mechanisms to the particular input
statistics of writing systems shaped by both culture and the exigencies of communi-
cating spoken language in a visual medium [2]. Writing is key to understanding second
language acquisition in contexts such as elementary and secondary level content area
classrooms [3]. Both reading and writing are great skills which need more time and
energy to learn and possess. As a result, listening and speaking courses are usually
provided before the reading and writing courses.
In a few European countries, e.g. Greece, Ireland and Finland, the terms of lis-
tening, speaking, reading and writing fail to appear in the curricula, and there is no
specific strategy to improve the four traditional skills clearly.
In French-speaking Belgium, the Netherlands and Romania, even though not all
skills are given particular concern at primary school, the skill of reading is highlighted.
Besides, there are 17 European countries which give equal priority to listening,
speaking, reading and writing. Sufficient authentic learning materials are usually pro-
vided to young learners, which is called real materials in real schools.
European children have more foreign language contact time than Chinese children.
In China, the minimum amount of time devoted to learning English for pupils at
primary schools remains about three contact hours per week. However, in Europe, most
primary school children receive 30–50 h of contact time to learn foreign languages.
Even though it is not safe to say European pupils with more contact time are better than
Chinese learners, constant practice indeed helps to make perfect, especially in listening
and speaking.
Early English education is an open discussion. Although the general public wel-
comes foreign language teaching at primary school, early English education has its
critics. In mainland, there are fierce debates about whether the native language will
suffer from early English learning. There are 56 Chinese consonants and vowels, 26
English alphabets, and 48 English Phonetics (total 130). The majority of critics think
that pupils may be confused by the characters if they are urged to study simultaneously
from the first grade at primary school. According to the competitive theory, there’s a lot
of competition between different linguistic systems. The competition between Chinese
and English obviously affects the acquisition of native language for young learners.
The native language system can be less influenced by alien language system only if the
former has nearly been established. This is the reason why the Ministry of Education
asks the primary schools to provide English lessons from Grade Three rather than from
Grade One.
In Europe, many countries encourage the early foreign language learning and a few
countries even provide more than one foreign language courses for pupils. According
to the data gathered in 2001/02 from a source published in 2004 by EU (http://ec.
europa.eu/education/policies/lang/doc/young_en.pdf), more than half of pupils began
to learn at least one foreign language at primary school stage; about 10% in Estonia,
Finland, Sweden and Iceland, and around 80% in Luxembourg learned two or more
foreign languages.
There is a convincing explanation for the difference between Chinese and European
linguistic policies for young learners. European languages usually belong to the same
or similar linguistic branches, namely European-Indian family, and they share many
linguistic characteristics. As a result, the competition between the native language and
foreign language is not so fierce and complete. On the contrary, Chinese belongs to the
particular Sino-Tibetan family, and the competition between Chinese and English is
intense. Consequently, the acquisition of Chinese may be considerably influenced by
582 P. Yu et al.
English phonetics, alphabetic characters, grammar, and alien culture before the Chinese
system is basically established. This is the reason why European countries encourage
the very young foreign language education at primary school while Chinese govern-
ment, with considering the negative influence of competition between linguistic sys-
tems, asks the primary schools to provide the English lessons at Grade Three at which
Chinese acquisition is nearly completed. In addition, nonliteral language acquisition is
closely and strongly related to the social experience of young learners, and the
acquisition will be greatly affected if the learners are not sensitive to metapragmatic
knowledge [4].
Multiple teaching models are introduced to improve the effectiveness. In mainland,
many models of language education are in operation, for example, the traditional
course-book model by which all pupils are required to take around three hours per
week to learn English word by word, flexible syllabus model by which some infor-
mation of science and geography is introduced in language education, linguistic
awareness model which focuses on meta-linguistic awareness and intercultural sensi-
tivity to develop underlying lingual qualities of pupils. Each model has its special
advantage in enhancing the effectiveness, and functions properly on a multi-sectoral
basis. Among the models, the increased time and intensity in the form of bilingual or
partial immersion education is emphasized during the process of language learning.
Besides the unrestricted and dynamic models, the behaviour of educator is another key
factor to influence English education.
3 The Role of Teachers in English Education
Principles should be created to implicitly guide teacher behaviour. The active teaching
method is a necessary one which should encourage rather than block the creativity of
individual imagination and practices of representation. Most children are eager to enter
the marvellous world of speaking and reading in English. There are a lot of principles
created to serve English teaching, and empty vessel is a traditional one.
According to empty vessel principle, the young learners are considered to be empty
vessels. Just like a tap pouring water to the empty container, educators, who adhere to
this empty vessel principle, pour knowledge into passive students who are waiting to be
filled. Even though the traditional method has its special function in English education,
it is criticized because the young students have no active role in learning.
A highly qualified and experienced ELT teacher has to debunk the empty vessel
theory of teaching. Drawing the truth out of the pupil is better than filling an empty
vessel. An effective teacher can inspire students’ self confidence in English learning.
Tell a man he is brave, and you help him to become so. Praise or a correct response
from the teacher can help the young learners enhance the validity and efficiency.
A teacher should provide positive feedback which helps young learners to master
English efficiently. The praise can enhance the attractiveness of English and boost
students’ self-esteem, which will bring the sense of pride and joy for learners. The day-
to-day lack of respect that many young learners are experiencing in the classroom may
create an atmosphere of personal stress and institutional cynicism, which combines to
substantially undermine learners’ confidence. Positive feedback is helpful for pupils.
Corrective feedback to children helps them further refine their underlying language
system. A suitably and fully qualified educator should ensure that young learner’s first
encounter with English is a positive and pleasurable experience. He should avoid
becoming unnecessarily pedantic, excessively pompous, and even unduly patronizing.
It is the essence of education to establish young learners’ clear and certain indi-
vidual identity. Once the individual identity is damaged, the negative effects of stress in
school begin to leak out, which obviously contaminates young learners’ confidence and
competence. Good pedagogical principles focus on both aims for and reasons behind,
and successful early start can develop the multilingual potential of pupils by activating
the language acquisition mechanisms.
Educators may encourage the pupils apply what they have learned in classroom in
settings outside of school. If young learners cannot appropriately apply the linguistic
knowledge to real situation and real world, the ultimate goal of ELT policy fails to be
achieved. Meanwhile, educators should help the pupils set a lifelong goal in learning as
Confucius has done.
Confucius asked the teachers to set a long-term goal for themselves and students.
Shìbùkěyǐbùhóngyì, rènzhòng’érdàoyuǎn–from Lúnyǔ Tàibózhāng. The meaning is
that the important thing in a great man’s life is to have a great aim and the determi-
nation to attain it despite the difficulties. Nothing is impossible to a willing heart.
A qualified teacher should help their students make and achieve the aim.
An effective educator can support pupils to achieve their ultimate goals. Xún-
xúnránshànyòurén–from Lúnyǔ Zǐhǎn. Confucian saying means education is not the
filling of a pail but the lighting of a fire. Education is just like a thousand-miles-journey
which begins with a single step, and a qualified teacher should teach the students step
by step. Xué’ér bùsīzéwǎng, sīér bùxuézédài–from Lúnyǔ Wéizhèng. A qualified
teacher should help the students to think over the knowledge and learn more from it.
Zeal without knowledge is fire without light. Learning without thinking makes one
confused, and thinking without learning makes one feel lazy.
There is a shift from the formal properties of the code to the meaning, from
sentence patterns to functions. With the development of English language learning,
more educators pay attention to effective communication rather than to complex
grammar and words. For young learners, plain English without jargon or local authority
expressions is more easily understood. Besides grammar and words, alien culture
influence is another factor to block the action of language education. An effective
teacher should seek to direct the efforts towards meeting the young learners’ needs and
wants. English education based on culture transplantation is a strong challenge to
primary teachers.
4 Culture-Influenced English Education
The development of competence in Standard English is sensitive to culture. Language

is not seen as an isolated and dedicated symbol processing system, but rather as a
heterogeneous set of artifacts implicated in cultural and cognitive activities [5]. Cultural
communication is of vital importance in implementing cross-cultural programmes
[6, 7]. Children’s narrative development is considered to be broadly situated in the
584 P. Yu et al.
social contexts, cultural institutions, and practices in which narratives are created and
shared with one another [8].
Language is used to extend its cultural influence over the young learners. Although
there was much lively debate about whether the widespread English should bring
serious retrogression of the language culture and about whether the popularity of
English should be interpreted as defiance of the great traditional heritage, we believe
that both Confucianism and Christianity exert enormous cultural influence over ELT.
The social and cultural contexts in which children live affect the course of their
language development [9]. Cultural background shapes sensitivity in the liminal per-
ception of Chinese characters [10, 11] and increases the strong sense of national
identity. Chinese and European students are influenced by their respective cultures and
the foreign language learning is obviously the competition and combination of the
native language and alien language. L2 users need to understand L2 communication as
a cultural process and to be aware of their own culturally based communicative
behaviour and that of others [12]. An educator cannot teach a language for long without
coming face to face with cultural context factors which have bearing on language
learning and teaching. Without the cultural background, a young learner will experi-
ence an identity crisis at an early age. Identity crises are often most acute when cultural
identity and social formation collapse. Cultural background may have a special rela-
tionship with some intuitions, the universality of which is central to philosophical
theories [13].
Language is the presentation of culture which brings significant differences in
gender, experience, attitudes, usage, and self-confidence [14]. Cultural deviation which
brings the impact of cross-cultural differences should be given more concern during the
ELT [15]. English language educators should respect the cultural difference between
East and West and regard the exotic pedagogical practice as difference but not as deficit
[16]. Without being sensitive to cultural difference, a young learner may produce a
grammatically acceptable expression which fails somehow to meet the cultural
requirements of object language. The long-term communicative linguistic contact
among people can stimulate the natural evolution of language and culture, bringing
significant deviation [17]. Confucianism, a philosophical system now 2,500 years old,
has exerted considerable influence over Chinese philosophical theology from about 500
years before the birth of Christ. It reflects the decent humanity in China and is con-
sidered to underlie so much of China’s cultural achievements. For example, according
to the Chinese culture, dragon is the totem of Chinese people, and only the Emperor or
the King can be called the son of great dragon and the common persons in ancient time
mustn’t use the design related to dragon. This is the reason why many Chinese parents
give their children wonderful name with dragon, which reflects their hope for future,
e.g. Li Xiaolong, Cheng Long, etc. However, western culture regards dragon as a large
imaginary animal that has wings and a long tail and can breathe out fire, which is
usually considered to be the guard of treasure in cave.
Dog is another example of cultural deviation. In Chinese culture, a person who
always remains entirely subservient to his boss or the purple robe of power with a
servile attitude is called dog. Few Chinese parents call their children with the name of
dog. However, in western culture, dog is the representative of honesty and faithfulness,
and the expressions of lucky dog, honour dog and lovely dog can be found everywhere
in English.
Confucianism influences the absorption of English which is greatly affected by
Christianity. Confucianism is the root of Chinese culture which gives primacy to the
public interest/public opinion rather than the spirit of individuals which is the great
focus of Christianity. Qiān shòu yì means the modest receives benefit, while the
conceited reaps failure, and humility often gains more than pride. As a result, nearly all
students keep silence in classroom because they think being silence is the symbol of
humility and modest, and speaking loudly to express their feelings is self pride. Chén
mò shì jīn means silence is gold and keeping silence is better than speaking loudly.
Qiāng dǎ chū tóu niǎo means the outstanding usually bear the brunt of attack, and
common fame is seldom to blame. This is the reason why culture-influenced young
Chinese students are very hard to speak English loudly in class at the beginning of
English education. Jǐ suǒ bù yù,wù shī yú rén. Each teacher, whose duty is to have in
mind the best and most effective and efficient means to enhance children’s responsible,
purposive and independent behaviour in long-term ELT, should be aware of the
importance of cultural influence on English teaching. The same culture-controlled
teacher should fully understand the difference of cultures and respect the students’
rights. He or she can gradually inspire the learners’ great devotion to English learning
and a yearning for more alien culture, thus making pupils fully understand English
culture of individualism and leading them to a splendid English world.
5 Conclusion
Even though early English education is an open discussion, English education for
young learners becomes popular and compulsory in China and Europe. The basic
function of language education is to help the pupils establish clear and certain indi-
vidual and national identity. Both school and family are responsible to capture the
essence of education and provide the pupils effective teaching strategy by maximizing
contact time, lowing the starting age, increasing perceived intensity, etc. Chinese
belongs to Sino-Tibetan family and many European languages, e.g. English, are the
branches of Indian-European family. The competition between Chinese and English is
fiercer than one among European languages before the acquisition of native language is
completed. For Chinese learners, it is a feasible plan to start the English education as
young as possible on the condition that Chinese acquisition system is nearly estab-
lished. Besides linguistic knowledge, culture-based education to young learners is
necessary and inevitable. The competition and combination of Confucianism and
Christianity advance English education further to young learners in China and Europe.
Acknowledgments. This article is sponsored by “Thirteen-Five Major Project” for National

Science and Technology Terminology Validation Committee (ZD2019001), China Social Sci-
ence Fund (2018FYY006), China Natural Science Fund (61877013), and Guangdong Science
and Technology Department Project (2018A070712032).
586 P. Yu et al.
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Employee Satisfaction, Task Performance,
and Emotional Labor: An Empirical
Examination
Noriko Okabe(&)
Center for Economic Growth Strategy, Graduate School of International

Social Science, Yokohama National University, 79-4 Tokiwadai, Hodogaya-ku,
Yokohama 240-8501, Japan
okabe-noriko-ts@ynu.jp
Abstract. The purpose of this study is to examine the relationship between role
conflict, task performance and satisfaction. Concretely, this study examines that
moderator hypothesis of emotional labor between task performance and job
satisfaction. The questionnaire surveys were administered to a total of 827 flight
attendants, including 414 flight attendants working for a European airline and
413 for an Asian airline. The results indicate that, role conflict perceived by the
employees decreases their task performance and job satisfaction. A moderation
analysis indicates that deep acting, an emotional work, repair the decreasing
propensity of task performance and satisfaction. The finding of this research
implies that the emotional work practice may moderate or repair the emotional
issues such as job stress and burnout of customer service employees.
Keywords: Role conflict Task performance Satisfaction Airline

Flight attendants Emotional labor
1 Introduction
The population in professional and business service is increasing today. The concept of
successful service firms implies that the individual service employees interact with
customers and make a customer return to the firm. Conversely, the professions of
“people work” such as flight attendants, nurse, sales persons are known emotionally
taxing and there is a risk for many employees to feel job stress and burnout. The issue
of job stress and burnout leads the employees to poor job performance, less job sat-
isfaction, absenteeism, and turnover.
Organizational researchers are increasingly paying attention to the unique problem
and issues involved in managing service providers, organizations and employees and
explore the causes and outcomes today. Recent service management research has also
increasingly focused on the role of emotions in service delivery, particularly the
emotional labor performed by service employees [1]. The service employees are
expected to display positive emotions such as smile and happiness, then, suppress
negative emotions such as fear and anger during service transactions [2], which is the
basis for emotional labor [3].

https://doi.org/10.1007/978-3-030-20145-6_59
588 N. Okabe
In the airline industry today, 24 h a day and 7 days a week operation create many
challenges for flight attendants, including extended duty periods, highly variable
schedules, frequent time zone changes, and coping with more passengers than the
previous era [4]. Moreover, in developed Western countries, there is an ongoing trend
in services and production industries to employ as few people as possible to do as much
as possible [5]. Though, security, safety and customer service are the three pillars of the
role of flight attendants regardless the airline and business models (e.g., low-cost or
legacy), the recent air travelers have multiple expectations. Accordingly, the roles of
the flight attendants have been changed under new working conditions. Therefore, the
flight attendants may perceive a role conflict in the workplace.
The Purpose of the Research. The purpose of the research is to examine that role
conflict perceived by flight attendants negatively associated with task performance and
job satisfaction. Then, the emotional labor aspects, such as affective delivery, surface
acting, and deep acting, practiced by flight attendants moderate or repair the decreasing
propensity of task performance and job satisfaction.
2 Emotion Work, Task Performance, Job Satisfaction,

and Role Theory
2.1 Emotion Work

The concept of emotion work was introduced by Hochschild [6]. In her seminal book,
she investigated flight attendants and demonstrated convincingly that their work could
not be fully described by the physical aspects of their work. Rather, a substantial part of
the job was dealing with customers and their emotions. The concept of emotion work
refers to the quality of interactions between employees and customers.
Emotion Regulation. Within the concept of emotion work, emotion regulation
includes the conscious and unconscious efforts to increase, maintain, or decrease
emotional components [7]. Emotion regulation defines as the manipulation of emotion
antecedents and consequences such as physiological, subjective, and behavioral
components of the emotional response. In the organizational framework, emotion
regulation requires the employees to display the organizationally desired emotion [8]
and induce or suppress feelings to sustain the outward countenance that produces the
proper state of mind in others.
Emotion and Health. A literature builds on the concept that the employees who often
inhibit their emotion may be more prone to disease than those who express their
emotions. There have been empirical reports of an association between the inhibition of
anger and hostility, then, induce hypertension and coronary heart disease [9]. More-
over, a significant amount of research has been conducted on flight attendants,
including work-related factors that might adversely affect their health such as circadian
dysrhythmia, recycled air, fatigue, shifting work schedules, radiation exposure, and the
lifting and handling of heavy objects [10].
Employee Satisfaction, Task Performance, and Emotional Labor 589
Affective Delivery. Affective delivery refers to the extent that service delivery is
perceived as friendly and warm, which relates to desirable outcome [11]. Employees in
many service occupations, such as flight attendant and nurse, are required to convey
positive emotions. The literature indicates that employee affective delivery can bring
benefits to an organization.
2.2 Emotional Strategies

Most emotion theories propose that emotions consist of several subsystems such as
feelings, physiological reaction patterns and expressive behavior, including emotional
strategies.
Surface Acting. Surface acting is an emotional strategy of which employees try to
manage the visible aspects of emotions appearing on the face and their attitudes. Gross
and Levenson [9] found that people were quite good in suppressing emotions. Con-
versely, they could not eliminate all expressive signs of disgust.
Deep Acting. Another emotional strategy is deep acting. The employees using deep
acting don’t only change the expressive aspects, but also their own feelings. The
employees may use deep acting strategy when surface acting is too mechanical to
satisfy customers’ expectation of genuine interpersonal relationships.
2.3 Task Performance

The focus of this research is on emotional performance in job roles that require either
the expression of positive emotion to customers or the suppression of negative emotion
in the service context.
2.4 Job Satisfaction

Job satisfaction is one of the most widely studied constructs. Job satisfaction is defined
as “all characteristics of the job itself and the work environment which employees find
rewarding and fulfilling” [12].
2.5 Role Theory

The role theory is based on the guarantee that an organization is a system of roles. If
organizations are to function effectively, the employees must have an accurate per-
ception of their role. Moreover, the employees must have some degree of subjective
certainty in their interpretation of the relevant role expectations and the means of
fulfilling them. Furthermore, organizational effectiveness is also presumably facilitated
if an employee feels that the expectations of others are appropriate.
590 N. Okabe
3 Hypotheses
Role conflict is defined in terms of the dimensions of congruency-incongruency or

compatibility-incompatibility in the requirements of the role, where congruency or
compatibility is judged relative to a set of standards or conditions which impinge upon
role performance [13]. Particularly, for the customer service employees (e.g. flight
attendants or salesperson), role conflict occurs when the employees face some
incompatible job requirements from their superior, customers, family members, or
other role partners [14]. The role theory framework served as the basis for the pre-
dictions concerning the direct effects of role conflict on task performance as well as on
job satisfaction, as follows (Fig. 1):
Direct effects:
Hypothesis 1a: Role conflict is negatively related to task performance.
Hypothesis 1b: Role conflict is negatively related to job satisfaction.
Moderating effects:
Hypothesis 2a: Affective delivery moderates the negative relation between role
conflict and task performance.
Hypothesis 2b: Affective delivery moderates the negative relation between role
conflict and job satisfaction.
Hypothesis 3a: Surface acting moderates the negative relation between role conflict
and task performance.
Hypothesis 3b: Surface acting moderates the negative relation between role conflict
and job satisfaction.
Hypothesis 4a: Deep acting moderates the negative relation between role conflict
and task performance.
Hypothesis 4b: Deep acting moderates the negative relation between role conflict
and job satisfaction.
Fig. 1. Conceptual model

4 Method
Participants, Procedures, and Profile
A questionnaire was developed, based on a review of the literature. A 5-point Likert-
type scale with either frequency or agreement anchors was employed to assess the
variables in the psychological contract context, organizational dynamics context and
emotional labor context, with 1 = strongly disagree, 2 = disagree, 3 = neutral,
4 = agree and 5 = strongly agree, unless otherwise noted. The items on each scale were
presented in random order. Administration of the survey, interviews, and field obser-
vation were undertaken.
For European Airline. 500 questionnaires were distributed to flight attendants
working for a European airline. The purpose of the survey, anonymity and confiden-
tiality of the data were explained. A total of 414 valid questionnaires was received
(82.8%). Concerning gender, 74.2% were women and 25.8% were men. The most
common professional experience was 16–20 years (26.6%), followed by 11–15 years
(19.6%), 26–30 years (18.6%), 21–25 years (15.5%), 6–10 years (11.6%), more than
30 years (4.2%), and less than 5 years (3.9%). Concerning age, the most common age
was 41–50 (53.6%), followed by 51–60 (22.0%), 31–40 (20.0%), 21–30 (3.5%), and
more than 60 (0.9%).
For Asian Airline. 500 questionnaires were distributed to flight attendants working
for an Asian airline. The purpose of the survey, anonymity and confidentiality of the
data were explained. A total of 413 valid questionnaires was received (82.6%). Con-
cerning gender, 78.0% were women and 22.0% were men. The most common pro-
fessional experience was less than 5 years (33.7%), followed by 6-10 years (25.2%),
11–15 years (13.1%), 26–30 years (8.7%), 21–25 years (8.5%), more than 60 (5.6%)
and 16–20 years (5.3%). Concerning age, the most common age was 21–30 (33.9%),
31–40 (29.1%), 41–50 (20.1%), 51–60 (12.8%), less than 20 years (3.1%), and more
than 60 (1.0%).
5 Results
Table 1 (European airline) and Table 2 (Asian airline) report the mean, standard
deviations, Cronbach’s Alpha coefficients, and intercorrelations. All variables had good
range and variation.
Both Tables 1 and 2 show that job satisfactions are significantly related to their
ages (r = .14, p < .001 in European airline; r = .11, p < .01 in Asian airline) and
tenures (r = .11, p < .01 in European airline; r = .11, p < .01 in Asian airline). Con-
versely, while task performance is significantly related to their ages (r = .12, p < .01)
and tenure (r = .09, p < .05) in European airline, task performance is not related to
their ages and tenure in Asian airline.
Direct effects:
Hypothesis 1a proposed that role conflict perceived by the employees is negatively
related to task performance. As predicted by Hypothesis 1a, Table 1 (European airline)
shows that role conflict is significantly and negatively related to task performance
592 N. Okabe
(r = −.30, p < .001), supporting Hypothesis 1a. Table 2 (Asian airline) also shows that
role conflict is significantly and negatively related to task performance (r = −.11,
p < .01), supporting Hypothesis 1a.
Hypothesis 1b proposed that role conflict perceived by the employees is negatively
related to job satisfaction. As predicted by Hypothesis 1b, Table 1 shows that role
conflict is significantly and negatively related to job satisfaction (r = −.16, p < .001),
supporting Hypothesis 1b. Table 2 also shows that role conflict is significantly and
negatively related to job satisfaction (r = −.12, p < .01), also supporting Hypothesis 1b.
Table 1. Means, SDs, reliability, and intercorrelations for European airline

Mean S.D. ad 1 2 3 4 5 6 7 8 9
a
1 Gender .74 .44
2 Tenureb 4.11 1.51 .12**
3 Agec 3.98 .79 .02 .76***
4 Satisfaction 4.08 .71 .83 .05 .14*** .11**
5 Task 4.24 .52 .82 .09* .12** .09* .10**
performance
6 Role conflict 3.40 .74 .93 −.14*** −.05 −.02 −.16*** −.30***
7 Affective 4.50 .53 .82 −.10** .14*** .22*** .04 .36*** −.20***
delivery
8 Surface acting 3.92 .68 .89 .12** .03 .08 .01 .26*** .06 .19***
9 Deep acting 3.65 .90 .91 .00 .02 −.02 .02 −.04 .21*** .13*** .34*** -
Note: ***p<.001, **p<.01, *p<.05. N=414.
a
Gender: coded as Male = 0, Female = 1.
b
Job tenure: coded as 1 = 0–5 years, 2 = 6–10 years, 3 = 11–15 years, 4 = 16–20 years, 5 = 21–25 years, 6 = 26–
30 years, 7 = more than 30 years.
c
Age: coded as 1 = less than 20, 2 = 21–30, 3 = 31–40, 4 = 41–50, 5 = 51–60, 6 = more than 60
d
Cronbach’s Alpha coefficients represent reliability.
Table 2. Means, SDs, reliability, and intercorrelations for Asian airline

Mean S.D. ad 1 2 3 4 5 6 7 8 9
1 Gendera .78 .42
2 Tenureb 2.78 1.91 .05
3 Agec 3.08 1.12 .01 .80***
4 Satisfaction 3.66 .72 .82 −.07 .11** .11**
5 Task performance 4.26 .55 .81 .02 −.00 .06 .01
6 Role conflict 3.64 .69 .93 .03 .01 −.07 −.12** −.11**
7 Affective delivery 4.17 .53 .83 −.05 −.10** −.06 .01 .22*** −.00
8 Surface acting 3.83 .63 .81 −.02 −.10** −.09* −.01 .01 .27*** .05***
9 Deep acting 4.53 .79 .82 .09* −.01 −.02 .03 .18*** .19*** .12*** .21*** -
Note: ***p<.001, **p<.01, *p<.05. N = 413.
a
Gender: coded as Male = 0, Female = 1.
b
Job tenure: coded as 1 = 0–5 years, 2 = 6–10 years, 3 = 11–15 years, 4 = 16–20 years, 5 = 21–25 years, 6 = 26–
30 years, 7 = more than 30 years.
c
Age: coded as 1 = less than 20, 2 = 21–30, 3 = 31–40, 4 = 41–50, 5 = 51–60, 6 = more than 60
d
Cronbach’s Alpha coefficients represent reliability.
Moderating effects:
Table 3 summarizes the hierarchical regression analyses with a total of the samples
(n = 827), when the dependent variable is task performance. In the interactions (step 3,
step 4, and step 5), if the changes in R2 (or DR2) for the interaction term is significant, it
is said to have a moderation effects, and the moderator hypothesis is supported [15].
Hypothesis 4a proposed that deep acting moderates the negative relation between
role conflict and task performance. In Table 3, when the interaction term (3) (Role
conflict x Deep acting) is inserted into the equation in the step 5, the interaction term
was significant [F (15, 811) = 16.09, p < .001, ΔR2= .012], supporting Hypothesis 4a.
Moreover, though role conflict remained a significant predictor with negative beta in
the basic equations (b = −.57, p < .001), when the interaction term (3) (Role conflict x
Deep acting) is inserted into the equation in the step 5, significantly positive beta
appeared (b = .72, p < .001). Figure 2 shows the plotting graph of interaction effect of
role conflict and deep acting on task performance.
Table 3. Hierarchical regression analyses with a total of samples (n = 827)

Dependent variable: task performance
H2a (RC and affective delivery), H3a (RC and surface acting) & H4a (RC and deep acting)
Independent variables (Step 1) (Step 2) (Step 3) (Step 4) (Step 5)
Step 2 Gender .04 .05 .05 .05 .05
Tenure −.03 −.00 −.00 −.01 −.01
Age .05 .03 .03 .03 .03
Satisfaction .01 .01 .01 .01 .01
Role conflict −.12** −.12** −.00 −.28** −.57***
Affective delivery .22** .29* .22*** .22***
Surface acting .12*** .12*** −.01 .12***
Deep acting .07** .07** .07** −.40**
Step 3 Role conflict x −.13***
Interaction (1) affective delivery
F 12.11*** 16.15*** 15.07***
Adjusted R-square .129 .203 .204
Δ R-square .074 .001
Step 4 Role conflict x surface .23
Interaction (2) acting
F 14.12***
Adjusted R-square .204
Δ R-square .001
Step 5 Role conflict x deep .72***
F 16.09***
Δ R-square .012
Standardized regression coefficients are reported. *** p < .001, ** p < .01, * p < .10.
594 N. Okabe
Fig. 2. Interaction effect of role conflict and deep acting on task performance
Table 4. Hierarchical regression analyses with a total sample (n = 827)

Dependent variable: job satisfaction
H2b (RC and affective delivery), H3b (RC and surface acting) & H4b (RC and deep acting)
Independent variables (Step 1) (Step 2) (Step 3) (Step 4) (Step 5)
Step 2 Gender −.05 −.05 −.05 −.05 −.05
Tenure .12** .12** .12** .12** .12**
Age −.02 −.02 −.02 −.02 −.02
Task performance −.01 −.03 −.03 −.03 −.04
Role conflict −.05 −.05 −.16 −.04 −.28***
Affective delivery .01 −.05 .01 .01
Surface acting .03 .03 .04 .03
Deep acting .05 .05 .05 −.18
Step 3 Role conflict x .12
Interaction (1) affective delivery
F 25.71*** 20.17*** 18.73***
Adjusted R-square .231 .232 .231
Δ R-square .001 −.001
Step 4 Role conflict x surface −.01
F 18.71***
Δ R-square −.001
Step 5 Role conflict x deep .35**
F 18.99***
Δ R-square .002
Standardized regression coefficients are reported. *** p < .001, ** p < .01, * p < .10.
Fig. 3. Interaction effect of role conflict and deep acting on job satisfaction
Table 4 summarizes the hierarchical regression analyses with a total of the samples
(n = 827), when the dependent variable is job satisfaction.
Hypothesis 4b proposed that deep acting moderates the negative relation between
role conflict and job satisfaction. In Table 4, when the interaction term (3) (Role
conflict x Deep acting) is inserted into the equation in the step 5, the interaction is
significant [F (14, 812) = 18.986, p < .001, ΔR2= .002], supporting Hypothesis 4b.
Moreover, though role conflict remained a significant predictor with negative beta in
the basic equation (b = −.28, p < .001), when the interaction term (3) (Role conflict x
Deep acting) is inserted into the equation in the step 5, significantly positive beta
appeared in the interaction term (b = .35, p < .01). Figure 3 shows the plotting graph
of interaction effect of role conflict and deep acting on job satisfaction.
In this research, Hypotheses 1a and 1b (Direct effects), and Hypotheses 4a and 4b
(Moderating effects) were supported. However, Hypotheses 2a, 2b, 3a and 3b (Moder-
ating effects) were not supported.
6 Discussion and Implication
Both European and Asian Airlines’ employees show that job satisfactions are signifi-
cantly related to their ages and tenures. This result implies that the increased power and
prestige often associated with upper level positions, which are unavailable to younger
employees, may increase their job satisfaction.
Conversely, while task performance is significantly related to their ages and tenure
of European Airline employees, task performance is not related to their ages and tenure
of Asian Airline employees. This result implies that, as the European Airline
employees showed higher tenure and age than the Asian Airline employees in this
research, task performance may be time dependence for customer service employees.
“Deep acting” means that employees modify the feelings and display appropriate
emotions required. A moderation analysis confirms that, while role conflict has a
negative impact on task performance as well as on job satisfaction, such a negative
impact would be moderated or repaired by deep acting. This result implies that, that
596 N. Okabe
employees’ working practice with deep acting repairs decreasing trends of task
performance as well as job satisfaction.
In the organizational context, it would be useful today to consider emotion work.
Emotionally competent employees can increase the competitiveness of the company in
the long term because such an employee effectively adopts the company’s strategy and
work efficiently [16]. The finding of this research implies that the emotional work
practice may use as psychological protection tools to prevent the customer service
employees from job stress and burnout.
The human service occupation could be particularly stressful [17]. As the popu-
lation in professional and business service is increasing today, there is a risk for many
people to feel job stress and burnout. The issue of job stress and burnout is that it leads
the employees to poor job performance, less job satisfaction, absenteeism, and turn-
over. Therefore, the issue of the employee’s emotional state should be seriously con-
sidered in the organizational setting.
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Sensitivity Analysis of Intercultural
Relationship Based on DMIS Model
Zhenbin Wu1, Baocui Chen2, and Xuebo Chen1(&)

1
School of Electronics and Information Engineering,
University of Science and Technology Liaoning,
Anshan 114051, Liaoning, People’s Republic of China
xuebochen@126.com
2
School of Foreign Languages,
University of Science and Technology Liaoning,
Anshan 114051, Liaoning, People’s Republic of China
baocuichen@163.com
Abstract. With the deepening of globalization, cross-cultural communication

has gradually entered people’s daily lives. In order to improve people’s inter-
cultural communication ability to adapt to new developments. Based on the
sensitivity of cross-cultural communication ability, this paper analyzes the
interaction between multiple groups (individuals) based on the DMIS model.
From the perspective of complex systems, analyze the interaction between
multiple groups (individuals). According to the Voronoi diagram, the geometry
of the strong and weak relationship of group culture interaction sensitivity can
be well reflected. With the Voronoi diagram theory, we can draw the sphere of
influence between multiple cultural groups. Based on the detailed analysis of the
research results, this study knows that the cross-cultural sensitivity of individual
education level and individual imbalance is the reason that affects the change of
group sensitivity. Therefore, starting from strengthening cross-cultural education
for local students, To reduce the cultural conflict brought about by the mutual
penetration of Chinese and Western cultures. Enhance cross-cultural sensitivity
of local groups by enhancing individual cross-cultural sensitivities.
Keywords: DMIS model Cross-cultural sensitivity

Voronoi diagram theory Intercultural communication ability
1 Introduction
In today’s world characterized by informatization, globalization, and internationaliza-

tion, people are no longer faced with a single cultural environment, but a multicultural
environment in which different regions and different subjects communicate and collide
[1]. In this context, the ability to talk about cross-cultural competence is the key to
transcending cultural differences and barriers and achieving successful intercultural
X. Chen—Mainly researched in complex population system, intelligent optimization of industrial

process, swarm intelligence, behavior safety, behavior finance so on.

https://doi.org/10.1007/978-3-030-20145-6_60
Sensitivity Analysis of Intercultural Relationship Based on DMIS Model 599
communication. In 1986, M. J. Bennett from the American Institute of Cultural

Development created the famous “Developmental Model of Intercultural Sensitiv-
ity”(DMIS model) for this conflict [2]. The DMIS model believes that the personal
experience of cultural differences does not arise from purely internal construction, it is
the embodiment of interaction activities in individuals, that is, cross-cultural
communication.
Therefore, culture does not exist in the individual, but in the group phenomenon,
and then presents the world view of the group culture through the individual world
view. Similarly, cross-cultural sensitivity does not exist in a single individual, but
individuals can demonstrate cross-cultural sensitivity through their dominant experi-
ence of cultural differences [2]. Therefore, analyzing how to improve an individual’s
level of cross-cultural sensitivity will help reduce or eliminate conflicts arising from
cultural differences. In fact, there is no shortage of definitions, models, and theories in
the analysis of sensitivity in intercultural communicative competence. However, the
concepts in these studies are complex, the theoretical extension is huge, and the content
develops in multiple dimensions. From the 1950s to the present day, theoretical models
of intercultural communication skills emerge one after another [3]. On the one hand,
this illustrates the importance of the concept of intercultural communicative compe-
tence and the depth of research; but on the other hand, many theoretical models also
confuse researchers. As Guoming Chen pointed out: “The literature on cross-cultural
communication skills research has been scattered and lacks a holistic vision”. There-
fore, this paper takes the Voronoi diagram theory as the research method, and uses the
DMIS model as the theoretical basis to analyze the interaction (impact, erosion,
acceptance, fusion) between multiple groups (individuals) under multiculturalism. The
model has certain guiding significance for cross-cultural experience of groups or
individuals in intercultural communication. The ethnocentrism stage and the national
relativism stage of the model are two main stages [4]. The level of cross-cultural
sensitivity in these two stages of development contributes to people’s perceptions of
cross-cultural differences. The DMIS model is a framework for explaining how people
respond to cultural differences. Its proponent Bennett finds that the deeper the expe-
rience of people’s “cultural differences”, the stronger their intercultural communication
skills. Each stage marks the formation of a particular “worldview”, representing a
particular cognitive structure that is generally expressed in terms of attitudes or
behaviors that are related to cultural differences. In other words, by identifying
potential cognitive biases towards cultural differences, we can make predictions about
the development of intercultural communication skills. In other words, by identifying
potential cognitive biases toward cultural differences, we can make predictions about
the development of intercultural communication skills, and improve cross-cultural
communication skills through cross-cultural sensitivity. The sexual development model
can provide a theoretical basis for the stratified training of intercultural communication
competence.
This paper combines the DMIS model with the Voronoi diagram theory to compare
the trends of individual cross-cultural sensitivity in different stages of the DMIS model.
By analyzing the multi-groups and thus the changes under the different influences of
individuals, the cross-cultural sensitivity of local cultural groups is enhanced, thereby
reducing the cultural conflicts caused by the infiltration of Chinese and Western cultures.
600 Z. Wu et al.
2 Developmental Model of Intercultural Sensitivity
The underlying assumption of the DMIS model is the “experience of cultural differ-
ences” [4]. If an individual has a deeper depth of the experience, then the individual’s
ability to solve conflicting problems in dealing with cross-cultural relationships will be
stronger; At the same time, each stage of cross-cultural sensitivity indicates the for-
mation of a particular “worldview” of individuals at different stages [5]. At the same
time, individual attitudes and behaviors change further with changes in worldview.
Enhance the cross-cultural sensitivity of the group by enhancing the individual’s cross-
cultural sensitivity and improving the individual’s intercultural communication skills.
2.1 Stage of Ethnocentrism

In the DMIS model, Bennett divides six stages according to people’s understanding of
cross-cultural sensitivity. The two main stages are the gradual transition from the
ethnocentrism stage to the national relativism. The ethnocentrism stage of the cross-
cultural sensitivity development model includes three stages: denial, defense, and
minimization. The first three stages of the individual are often centered on nationalism,
that is to say, the individual’s experience of his own culture is to some extent centered
on reality. In the psychological aspect, cultural differences are often denied. Individuals
often think that their own culture is the only real culture and they are in conflict with
the invasion of foreign cultures. If they cannot resist, they will enter the stage of
defense. At this time, individuals think that their own culture is stronger than foreign
cultures. In addition, to a certain extent, the cultural differences are degraded.
2.2 National Relativism Stage

The last three stages of the DMIS model are the stage of national relativism, that is,
individuals experience their own culture in other different cultural backgrounds. In the
acceptance phase, its exotic culture is also a complex but different reality, and people
are curious and respectful of cultural differences. In the Adaptation stage, the individual
gains the ability to change his or her views within or outside his cultural worldview,
allowing him to develop an understanding of the culture and behavioral adaptation;
people in the adaptation phase will see the world through different perspectives. It may
also be intentional to change one’s behavior to make one’s communication in another
culture more effective. In the integration phase, the individual’s experience is magnified
and freely entered between different cultural worldviews. In short, in the stage of
ethnocentrism, people try to avoid cultural differences by denying, contradicting or
minimizing their importance. In the stage of national relativism, they seek cultural
differences, accept the importance of cultural differences, or adjust their views to
recognize cultural differences.
3 Research Methods
3.1 Analysis of Group Cross-Cultural Sensitivity Based on Voronoi
Diagram Theory
In the study of cross-cultural sensitivity of the group, this paper explores whether there
is a certain cross-cultural sensitivity difference between Chinese students and foreign
students from the perspective of college students and international students. From Jing
Feng and Gang Zhou s’ empirical research on the cross-cultural sensitivity of Chinese
and foreign students at Dalian University of Technology, although the cross-cultural
sensitivity level of Chinese students and foreign students surveyed has exceeded the
uncertainty stage as a whole [6, 7]. However, from the perspectives of communicative
participation, differential identity, communicative confidence, communicative pleasure,
and communicative concentration, there is still a big gap. The cross-cultural sensitivity
level of foreign students is much higher than that of Chinese students (Table 1).
Table 1. Comparison results between Chinese and foreign students

Chinese students Foreign students
Number Mean Standard Number Mean Standard
of people deviation of people deviation
The average 118 3.8331 0.39126 79 3.8771 0.42781
score
Communicative 118 4.0216 0.47235 79 3.8211 0.43717
participation
Difference 118 4.3082 0.46709 79 4.0646 0.65569
identity
Communicative 118 3.2331 0.63246 79 3.8481 0.68479
confidence
Communicative 118 3.7501 0.74336 79 3.9219 0.86059
pleasure
Communicative 118 3.5452 0.55754 79 3.6308 0.66489
concentration
From the conclusion of Voronoi diagram theory, according to the Voronoi diagram
theory, the characteristics of the geometric characteristics of complex groups can be
expressed, and the research objects are embodied, that is, the influence of different
groups’ cross-cultural sensitivity on cultural conflicts. There are many factors that can
influence cross-cultural sensitivity. This chapter mainly establishes models based on
cross-cultural sensitivity and analyzes the impact of cultural conflicts according to
different situations affecting cross-cultural sensitivity.
602 Z. Wu et al.
3.2 Construction Method of Two-Dimensional Voronoi Diagram Model

According to the schematic diagram of the Voronoi diagram model shown in Fig. 1,
the coordinates of the primitive points are randomly generated in Matlab, and then the
distance from the center coordinate of each primitive point to the adjacent point is
sequentially solved, and then the primitives are summarized to the distance [8]. Within
the shortest primitive range, the topological relationship of each primitive is obtained,
and different topological relationships are obtained according to the interaction rules.
Then, each primitive number obtained and its range size are written into the main
program file in the form of a set to finally realize the establishment of the entire two-
dimensional Voronoi diagram model.
Fig. 1. Voronoi diagram model schematic
This chapter uses the theory of Voronoi diagram and the idea of complexity system
to establish a model, taking the individual of the cultural group as a base point, and the
area of the area centered on the elementary point as the size of each individual’s cross-
cultural sensitivity. As each part of the cultural group, each individual will interact with
the individuals around them in the process of daily life, and these effects will have
different effects on the cross-cultural sensitivity of the cultural groups. Because their
cross-cultural sensitivity shows different strengths in each individual, new effects will
appear in the process of mutual influence [9].
Because the complex system itself is random, the final result may exceed the
control scope of this cultural group and cause cultural conflict. Therefore, under the
premise of consistency of cultural awareness, this cultural group needs to educate the
individual and thus enhance Cross-cultural sensitivity. After enhancing relevant edu-
cation, each individual can correctly and positively deal with cultural conflicts between
cultural groups, thus improving cross-cultural sensitivity.
Assume that individuals do not accept regional life under the influence of cross-
cultural education, and analyze the relationship and influence of individuals’ cross-
cultural sensitivity under education with other individuals around them. From a
mathematical point of view, the Voronoi diagram consists of n random primitive points
that divide the plane into several regions. Each area has only one original point, and the
area where each original point is located is the smallest distance from the adjacent
points. The basic definition is as follows:
It is prescribed that the finite set in the two-dimensional space R2 is S, and in the
plane S there are n random primitive points P = {p1, p2,…, pn} belonging to the set,
wherein any two primitive points are discrete and do not overlap each other, giving
positions on the plane A different point Q makes q R2. Then the Voronoi diagram
generated by the discrete primitive points divides the S space into a set of Vs = {Vp1,
Vp2,…, Vpn},and the Voronoi diagram area of each primitive point is:

Vpi ¼ fq R2 ; jqpi j\qpj ; pj 2 P; i 6¼ jg; ði ¼ 1; 2; . . .nÞ ð1Þ
Where |qpi| and |qpj| represent the Euclid distance between q and pi and q and pj,
respectively, pi and pj are primitive points, and region Vpi is any pi Voronoi diagram
region. Since pi and pj are primitive points that do not coincide with each other in the
Voronoi diagram, if there is a common edge between the Voronoi diagram Vpi of pi and
the Voronoi diagram Vpi of pj, both pi and pj are adjacent and will be associated with
the primitive point. The neighboring primitive points of pi are fixed as a set pj
advi ¼ fVpi \ Vpj ¼ £; i 6¼ j; j 6¼ 1; 2; . . .; ng ð2Þ
In any p R2 primitive point, each primitive point has a corresponding Voronoi

diagram area, and is one-to-one correspondence, let r > 0, p is the center point of the
area, and use Q(p, r) denotes a circle with radius r, and the region where these primitive
points are located constitutes the entire Voronoi diagram, i.e., Q = {Vp1(Q), Vp2(Q),
…, Vpn(Q)}
X
n
Q¼ Vpi ðQi Þ ð3Þ
i¼1
The size of Qi is expressed as the area occupied by the individual’s cross-cultural

sensitivity.
There are n primitive points, and pi and pj are adjacent, so that the influence force
centered on pi is Mi, and the influence force centered on pj is Mj,then the primitive
point pi is affected by the surrounding primitive points. The force force is:
X
n
Mi Mj
Fi ¼ ðaa þ bb þ ccÞ ; i 6¼ j; i ¼ 1; 2; . . .n ð4Þ
i¼j
Dij
Among them, Dij is the distance between the two primitive points of pi and pj, a is
the individual cross-cultural sensitivity, b is the individual sensitivity level, c is the
individual education level, and a, b, and c are the correlation coefficients of the three
variables.
604 Z. Wu et al.
If the resultant force is F when the element point is balanced by force, then at the
equilibrium time t, the resultant force difference of the element point pi is:
X
n
Mi Mj
Fit ¼ ðaa þ bb þ ccÞ F ð5Þ
i¼j
Dij
When the element point is affected by the influence of other points around it, it will
move toward the direction where the difference becomes smaller due to the difference
of the force. In order to make the element point move autonomously when the a value
is different, the logic judgment function is introduced
8
< 1; x\y
dðx; yÞ ¼ sgnðx yÞ ¼ 0; x ¼ y ð6Þ
:
1; x [ y
Set the speed at which the primitive point pi moves, and the motion rule is,
8
>
> v ¼ v dðFix ; Fx Þ F2x jþFitFjix
< x
F ¼ ðFx ; Fy Þ Fi ¼ ðFix ; Fiy Þ ð7Þ
>
>
: vy ¼ v dðFiy ; Fy Þ Fy þ Fiy
2jFit j
The motion stops until the element point reaches the equilibrium. At this time, the
Voronoi diagram consists of the area of the area where each element point is located.
According to the formed Voronoi diagram, the change of the area occupied by each
element point in the case of different a values, that is, the individual cross-cultural
sensitivity is different, and the mutual influence between individuals is the main
influence. From the perspective of enhancing the cross-cultural sensitivity of local
cross-cultural groups, corresponding education management measures are formulated
for different regions according to the distribution of cross-cultural sensitivity of stu-
dents at different levels of education.
3.3 Cross-Cultural Sensitivity Simulation Analysis Based on Voronoi

Diagram Theory
According to the description of the cross-cultural sensitivity of the DMIS model, in the
national center stage, people’s cross-cultural awareness is in a weak period, and the
foreign culture is in the “denial” stage. At this stage, people’s greatest feature is
“positive ignorance”. People at this stage believe that cultural differences are irrelevant
to themselves [10, 11]. At this time, the students’ cross-cultural awareness will not only
be affected by their own cross-cultural sensitivity, but also by the cross-cultural sen-
sitivity of other students, when students receive the same level of cross-cultural edu-
cation and the same level of education. Therefore, by adjusting the cross-cultural
sensitivity of individuals to promote the change of cross-cultural sensitivity of the
group, the purpose of enhancing the cross-cultural sensitivity of local students is
achieved. Because of the different cross-cultural sensitivities of each student at the

initial moment, the cross-cultural sensitivity of the group is also different. As shown in
Fig. 2. A cross-cultural sensitivity awareness distribution map of students from dif-
ferent cultures under the influence of multiculturalism under initial conditions using
MATLAB software can be obtained.
Fig. 2. Cross-cultural sensitivity awareness distribution map under multi-culture under initial
conditions based on Voronoi diagram
As can be seen from Fig. 2, the cross-cultural sensitivity of students in different

cultures varies. From the analysis of students’ own cross-cultural sensitivity, they react
and make decisions in the face of different cultural conflicts. Students will consider the
cultural conflicts their encounter and respond accordingly based on their cross-cultural
sensitivity [12, 13]. For students with low cross-cultural sensitivity, they do not have
enough ability to deal with cultural conflicts, so they often miss the best time to
eliminate cultural conflicts. However, some students have high cross-cultural sensi-
tivity. It is possible to solve the hidden dangers caused by the conflicts of many cultures
as soon as possible. Therefore, in order to improve the cross-cultural sensitivity of
domestic students, improving students’ cross-cultural sensitivity is an important
method to solve the problem of multicultural conflicts. The cross-cultural sensitivity of
students, in addition to their accumulation in daily study and life, will be influenced by
the surrounding students [14]. From the perspective of the intercultural influence
between students, a distribution map of the cross-cultural sensitivity awareness of
students under the multiculturalism of changing the number of educations as shown in
Fig. 3 can be obtained.
606 Z. Wu et al.
Fig. 3. Distribution of cross-cultural sensitivity awareness under initial conditions under the
influence of the number of education
As can be seen from Fig. 3, the cross-cultural sensitivity awareness among groups
is very complicated and the distribution is complicated. It is easy to cause cultural
conflicts due to cultural differences. Therefore, in order to adjust the influence of the
cross-cultural sensitivity awareness of the control group, Set the cross-cultural sensi-
tivity and education level of each individual in the group, and control the cross-cultural
sensitivity of the group by adjusting the number of cross-cultural education. Because
under the initial conditions, the cross-cultural sensitivity of each group in the region is
more confusing, and the school often has a deeper cross-cultural education for inter-
national students, ignoring the cross-cultural education of local students. Therefore, the
cross-cultural sensitivity of the student groups in the foreign culture is gradually
becoming stronger, but the cross-cultural sensitivity of the local student groups is not
improved [15]. Therefore, through this rule, the relevant knowledge of the Voronoi
diagram is used for simulation analysis, and the position is adjusted until the equi-
librium state. The effect of the cross-cultural sensitivity meaning of the group is
affected by the number of cross-cultural education as shown in Fig. 4.
According to Fig. 4, when local students increase the number of cross-cultural
education, the cross-cultural sensitivity of individuals will increase, and the scope of
group cross-cultural sensitivity will expand independently, so the stability of the region
will be improved. This is conducive to the stable development of cross-cultural sen-
sitivity of the local student population. When individuals in different cultures have
different cross-cultural sensitivities, This rule can be used to adjust the interaction
between students so that the sensitivity between groups reaches a mean state, so that
individuals can enter the acceptance phase of the DMIS model (Racial Relativism). At
this stage, the group’s coordinated integration and integration of different cultures and
differences, consciously pay attention to or change some of their behaviors and
behaviors based on the improvement of cross-cultural sensitivity. At this time, each
Fig. 4. Distribution of cross-cultural sensitivity range of multi-culture under the influence of the
number of times of education
group generally has a dual or multiple world view when dealing with integration
problems, so that the individual’s cross-cultural sensitivity can be enhanced more
quickly.
4 Conclusion
(1) In summary, when conducting cross-cultural sensitivity related research, deep-
ening localization for cross-cultural education can enhance students’ under-
standing of cross-cultural sensitivity. To some extent, enhancing individual
understanding and understanding of different cultures can reduce prejudice against
other cultures and thus reduce cultural conflicts.
(2) In the cross-cultural sensitivity survey of college students, it can be seen that
Chinese students are less sensitive to cross-cultural sensitivity than foreign stu-
dents because of their influence on local culture and educational background.
Therefore, in the process of intercultural communication, purposefully help stu-
dents understand multiculturalism and learn to appreciate the essence of his
culture. Actively cultivating people’s awareness of cross-cultural sensitivity can
effectively help them improve and enhance their sensitivity to different cultural
differences. This will easily solve problems of different cultural backgrounds,
including changing behaviors that conform to different cultural backgrounds. In
this way, people from different cultural backgrounds can smoothly adapt to
unfamiliar environments when communicating, and when there are cultural dif-
ferences and conflicts in the process of intercultural communication, they can
have confidence and ability to cope, and then effectively carry out intercultural
communication.
608 Z. Wu et al.
Acknowledgments.. This research reported herein was supported by the NSFC of China under
Grants No.71571091 and 71771112.
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(2004)
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(1998)
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Cross-Cultural Analysis of Top Page Design
Among Brazilian, Chinese, Japanese
and United States Web Sites
Toshihisa Doi(&) and Atsuo Murata
Graduate School of Natural Science and Technology, Okayama University,

3-1-1 Tsushimanaka, Kita-Ward, Okayama, Japan
tdoi@okayama-u.ac.jp, murata@iims.sys.okayama-u.ac.jp
Abstract. The aim of present study was to reveal the differences of web design
including cultural preference among the four countries that have different cul-
tures. Twenty local municipal sites were randomly chosen from United States,
Japan, China, and Brazil. The characteristics of these web sites was investigated
from viewpoint of the following seven categories: (1) text, (2) layout, (3) nav-
igation, (4) multimedia, (5) links, (6) items location, (7) color. When the web
site had each factor, the researcher gave a “1” for that factor. Chi-square
goodness-of-fit test was performed to compare the percentage of “0” or “1” of
each factor among the four countries. Additionally, the correspondence analysis
was performed to grasp the characteristics of each country. The characteristics
of the top page design of the four countries were grasped based on these
analyses.
Keywords: Web design Cultural difference Appearance Cultural usability
1 Introduction
Because global internet users are large number and they have diverse cultures, the
localization of web design is accelerated to adapt to a particular language, culture, and
preference. To enhance user satisfaction and accessibility when visiting web sites, web
designers must consider the cultural aspect and choice proper design elements for the
localized web site. According to Petrie et al. [1], the approach to develop accessible and
usable design will be different in the different cultural contexts. As for the web design,
the cultural viewpoint of web usability has been discussed by several researchers.
Barber and Badre [2] and Marcus and Gould [3] reported that there are several different
characteristics of the user-interface design among each country that has different cul-
tural characteristics. They considered the relationship between culture and usability
should be important to organize and visualize information on web sites.
To consider the cultural usability of web sites, the characteristics of the web design
in the different culture should be grasped. Cyr and Trevor-Smith [4] were investigated
the differences of the web design characteristics among German, Japanese, and United
States web sites as a basic finding to examine the design direction considering the

https://doi.org/10.1007/978-3-030-20145-6_61
610 T. Doi and A. Murata
localized web sites. They reported the web sites of these countries had statistically
significant different characteristics in the several viewpoints. Alexander et al. [5, 6]
tried to develop cross-cultural web design guidelines based on the findings of the
cultural differences among some countries.
However, these investigations were conducted to the limited countries. Besides, the
trend of web design is rapidly changed. To expand the above studies and catch the
latest trend of web design, the survey to grasp the cultural differences of web design
should be performed continually.
The aim of the present study was to reveal the differences of the web design
including cultural preference among the four countries that have the different cultures.
This study is important as a basic study to discuss what web design is preferable in each
culture and how the design elements should be considered in the cultural aspect.
2 Method
2.1 Analyzed Websites
The analyzed web sites in this study were chosen from Brazil, China, Japan, and United
States. Each 20 local municipal sites were chosen randomly from each country. The
total sample size was 80 web sites. The examples of the web sites of each country are
shown from Fig. 1, 2, 3 and 4 .
Fig. 1. An example of the web site in Brazil (https://www.mg.gov.br/).

Cross-Cultural Analysis of Top Page Design 611
Fig. 2. An example of the web site in China (http://www.fujian.gov.cn/).
Fig. 3. An example of the web site in Japan (http://www.pref.hokkaido.lg.jp/).

Fig. 4. An example of the web site in United States (https://www.oregon.gov/pages/index.aspx).
2.2 Cultural Characteristics

Cyr and Trevor-Smith [4] and Alexander et al. [5, 6] used Hofstede’s model of national
cultural differences [7, 8] to grasp the cultural characteristic of each country. This study
also used the model to select the counties and grasp the cultural characteristics. Hof-
stede’s model of national cultural differences shows the national characteristics from
the viewpoint of the six dimensions of national culture: (1) power distance, (2) indi-
vidualism, (3) masculinity, (4) uncertainty avoidance, (5) long term orientation, and
(6) indulgence. According to Hofstede’s model of national cultural differences, the four
countries that were selected for this investigation have different cultural characteristics.
The score of the six dimensions of the four countries is shown in Table 1.
Table 1. Country cultural dimensions.

Country dimension Brazil China Japan United states
Power distance Med (69) High (80) Med (54) Low (40)
Individualism Low (38) Low (20) Med (46) High (91)
Masculinity Med (49) Med (66) High (95) Med (62)
Uncertainity avoidance High (79) Low (30) High (92) Low (46)
Long term orientation Low (44) High (87) High (88) Low (26)
Indulgence Med (59) Low (24) Low (42) Med (68)
2.3 Web Design Characteristics

The characteristics of the web sites was investigated from viewpoint of the following
seven categories: (1) text, (2) layout, (3) navigation, (4) multimedia, (5) links, (6) items
location, (7) color. These categories were chosen according to the several previous
studies [4–6]. Table 2 shows the characteristics of each category.
Table 2. Web design characteristics of each category.

Category Web design characteristics
Text Translation available
Headings
Point form
Bold
Layout Headline image
Grid layout
1 column layout
2 columns layout (Sub contents on left)
2 columns layout (Sub contents on right)
3 columns layout
Navigation Global navigation
Keyword search
Navigation on footer
Multimedia Video
Sound
Animation
Links Internal links
External links
Symbols used for links
Text links
Changes color
Items location Banners on left
Banners on right
Banners on bottom
Banners on top
Banners on middle of page
Menus on left
Menues on right
Menues on bottom
Menues on top
Search box on top left
Search box on bottom
Search box on middle of page
Search box on top right
Color Main color tone: Vivid
Main color tone: Deep
Main color tone: Light
Background color: White
2.4 Analysis
The 80 web sites were investigated whether the top page of the web sites has each web
design characteristics. Each characteristic was given “0 (not present)” or “1 (present)”.
When the web site had each characteristic, the researcher gave a “1” for that charac-
teristic. The investigation was conducted to the top page of each web site. When the
web site had several top pages of each language, the native language top page was
analyzed.
As a statistical analysis, the chi-square goodness-of-fit test was performed to
compare the percentage of “0” or “1” of each characteristic among the four countries.
Additionally, the correspondence analysis was performed to grasp the characteristics of
each country.
3 Results
3.1 Text
The results of the actual counts of each country and the chi-square goodness-of-fit test
in the text category are shown in Table 3. All characteristics of the text category
showed significant difference among the four countries. Translation function was fre-
quently appeared on Japanese sites significantly. In contrast, translation function was
not found on Brazilian sites at this investigation. As for headings and point form in text
of the top pages, these were frequently found on Chinese and Japanese sites. As for
bold of text, Brazilian and United States sites frequently used it.
Table 3. Result of chi-square goodness-of-fit test of text category.

Actual count Chi-square Degrees p -value
Brazil China Japan United of
States freedom
Translation 0 10 17 10 29.52 3 0.000
available
Headings 18 20 20 13 16.40 3 0.001
Point form 4 20 19 3 52.58 3 0.000
Bold 14 8 7 17 14.12 3 0.003
3.2 Layout
in the layout category are shown in Table 4. Headline image, grid layout, 1 column
layout, and 3 columns layout showed significant differences among the four countries.
As for 2 columns layout, only few sites adopted it in each country. The percentage
using headline image of Japanese sites was significantly low. As for the layout of web
site, most United States sites adopted 1 column grid layout. In contrast, Japanese sites
frequently adopted 3 columns layout.
Table 4. Result of chi-square goodness-of-fit test of layout category.

Actual count Chi-square Degrees of p-value
Brazil China Japan United freedom
States
Headline image 19 20 14 20 15.50 3 0.001
Grid layout 8 13 6 16 12.62 3 0.006
1 column 12 13 6 18 15.33 3 0.002
2 columns 3 1 3 1 2.22 3 0.528
(Sub contents on left)
2 columns (Sub 4 4 2 1 2.85 3 0.416
contents on right)
3 columns 1 1 7 0 15.40 3 0.002
3.3 Navigation
in the navigation category are shown in Table 5. A navigation on a footer showed
significant difference among the four countries. The percentage using the navigation on
footer of Japanese sites was significantly low. Because global navigation and keyword
search were used in most web sites of each country, there was no significant difference.
Table 5. Result of chi-square goodness-of-fit test of navigation category.

Actual count Chi-square Degrees of p -value
States
Global 19 19 17 17 2.22 3 0.528
navigation
Keyword search 19 19 20 20 2.05 3 0.562
Navigation on 11 11 5 16 12.22 3 0.007
footer
3.4 Multimedia
in the multimedia category are shown in Table 6. Video showed significant difference
among the four countries. The percentage using video files on the top page of Brazilian
sites was significantly high. Most web sites of the four countries did not put sound and
animation files on the top page.
Table 6. Result of chi-square goodness-of-fit test of multimedia category.

Actual count Chi-square Degrees of freedom p -value
Brazil China Japan United States
Video 9 1 2 0 19.61 3 0.000
Sound 1 0 0 0 3.04 3 0.386
Animation 0 0 0 0 — — —
3.5 Links
in the links category are shown in Table 7. Symbols and changes color showed sig-
nificant difference among the four countries. The percentage using symbols for the
links of Brazilian and Japanese sites was significantly low. In United States sites, the
percentage of the function that changes color when the cursor put on the links was low.
Table 7. Result of chi-square goodness-of-fit test of links category.

Actual count Chi-square Degrees p -value
Brazil China Japan United of
States freedom
Internal 20 20 20 20 — — —
links
External 20 19 20 17 6.32 3 0.097
links
Symbols 8 19 8 13 17.08 3 0.001
used for
Text 20 20 20 19 3.04 3 0.386
links
Changes 16 20 20 14 12.34 3 0.006
color
3.6 Items Location

in the items location category are shown in Table 8. Banners on right, banners on
bottom, banners on middle of page, search box on middle of page, and search box on
top right showed significant difference among the four countries. There were few
banners on the top page of United States sites. In contrast, Japanese sites had many
banners, and these were frequently put on the bottom of the top page. The search box of
United States sites was frequently put on the middle of the top page.
Table 8. Result of chi-square goodness-of-fit test of items location category.

States
Banners on left 0 2 2 1 2.35 3 0.504
Banners on right 4 3 10 1 12.90 3 0.005
Banners on bottom 3 2 15 1 33.25 3 0.000
Banners on top 1 0 1 0 2.05 3 0.562
Banners on middle of 3 6 7 0 9.38 3 0.025
page
Menus on left 4 3 9 4 5.87 3 0.118
Menues on right 1 1 2 1 0.64 3 0.887
Menues on bottom 2 1 2 4 2.38 3 0.498
Menues on top 18 19 18 19 0.72 3 0.868
Search box on top 1 0 3 3 4.23 3 0.238
left
Search box on 1 1 0 0 2.05 3 0.562
bottom
Search box on 3 5 7 15 17.71 3 0.001
middle of page
Search box on top 14 13 11 3 14.96 3 0.002
right
3.7 Color
in the color category are shown in Table 9. Main color tone: vivid, main color tone:
deep, and background color: white showed significant difference among the four
countries. Brazilian and Chinese sites tended to use vivid colors as a main color of the
top page. United States sites tended to use deep colors as a main color of the top page.
Besides, United States sites were not frequently used white color as a background color
of the top page.
Table 9. Result of chi-square goodness-of-fit test of color category.

States
Main color tone: 14 10 5 4 13.36 3 0.004
Vivid
Main color tone: 5 5 8 13 9.01 3 0.029
Deep
Main color tone: 1 5 7 3 6.25 3 0.100
Light
Background color: 18 17 14 9 12.29 3 0.007
White
618
0.3 Translation available
Search box on middle of page
0.2 Deep
3 column Grid layout
0.1 Changes color US
Banners on bottom Point form Symbols used for links
Japan China 1 column
0
Banners on right Navigation on footer
Headlines image
Banners on middle of page Headings Bold
T. Doi and A. Murata
-0.1 Brazil
White
-0.2
Search box on top right
Vivid
-0.3
-0.4
Score of the second axis (arbitrary unit)

-0.5
Video
-0.6
-0.6 -0.5 -0.4 -0.3 -0.2 -0.1 0 0.1 0.2 0.3
Score of the fist axis (arbitrary unit)
Fig. 5. Result of correspondence analysis.

3.8 Correspondence Analysis

Because there were too many web design characteristics to explain the result of the
correspondence analysis when all web design characteristics are used for the corre-
spondence analysis, the web design characteristics that showed statistically significant
difference among the four countries were used to perform the correspondence analysis.
The scatter plot of the score of both the row (countries) and the column (web design
characteristics) is shown in Fig. 5 as a result of the correspondence analysis. When the
distance between each item (country and characteristic) is close, it could be considered
as the relationship between the items is strong relatively.
As shown in Fig. 5, Brazil was positioned near vivid (main color tone), white
(background color), headline image. China was positioned near headings, changes
color (links), symbols used for links, headline image. Japan was positioned near
changes color (links), headings, white (background color), banners on right, banners on
middle of page, point form. United States was positioned near grid layout, deep (main
color tone), symbols used for links, 1 column (layout), navigation on footer, bold (text).
4 Discussion
The characteristics of the web site design in the four countries were summarized below.
The culture of each country has different characteristics in web designs.
4.1 Brazil
Heading and bold of text were frequently used on the top page of Brazilian sites. As a
characteristic feature of the text category of Brazilian sites, we could not find the
translation function at this investigation. The color of web site was similar with Chinese
site. In many sites, the background color was white, and vivid colors were used as the
main color of the top page frequently. Besides, Brazilian sites frequently put on video
files on the top page as compared with the others.
4.2 China
Chinese sites had similar characteristics with Japanese site about the text style.
Headings and point form were tended to use on the top page, and the bold of text was
not used frequently as compared with Brazil and United States. However, the layout
structure was similar with United States and Brazilian sites. The 1 columns grid layout
may be most popular layout in Chinese. Besides, the headline image was put on the top
page frequently. As for the links, Chinese sites frequently used the symbols as a design
element. Although the layout structure was similar with Japanese sites, Chinese sites
did not have many banners on the top page as compared with Japanese sites. As for the
color of the top page, most Chinese sites adopted white color as a background color.
According to the results of the correspondence analysis, China was put on the almost
center of the other three countries. This means that Chinese sites has the similar
characteristics with each country. Text style is similar with Japanese sites, character-
istics of layout and links are similar with United States sites, and color is similar with
Brazilian sites.
4.3 Japan
Japanese sites provided the translation function as compared with the other countries.
As for the text style, Japanese sites frequently used the heading and point form in the
text on the top page. These characteristics of the text was similar with Chinese sites.
These similar characteristics may be caused by using Kanji character that is used in
both countries. As for the layout, Japanese sites had the characteristic layout structure
as compared with the others. The 3 columns layout was frequently used, and the footer
navigation was not frequently used in Japanese site. Other three countries rarely used
the 3 columns layout. Besides, there were many banners on the top page in Japanese
sites. These banners were put on right and bottom area in most web sites. The fre-
quently use of the banners is considered as the unique feature of Japanese sites.
4.4 United States

As for the text style, United States sites frequently used the bold of text. Heading and
point form was not frequently used as compared with the other three countries. United
States sites used the 1 column grid layout and put a large photograph as a headline
image in many web sites. Besides, the footer navigation was frequently used. As for the
items location, the location of the search box was characteristic as compared with the
other countries. In many United States sites, the search box was one of prominent
design elements on the top page and put on the center of the top page. As for the color,
United States sites frequently used the deep color as the main color of the top page. The
percentage that the background color is white was lower than the others.
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Globalization, Cultural Differentiation
and Pluralism Processes and Proactive
Dimension of Human World
of “Boundary-Less Careers”
Agnieszka Cybal-Michalska(&)
Adam Mickiewicz University, ul. Wieniawskiego 1, 61-712 Poznan, Poland

agnieszka-cm@wp.pl
Abstract. Global transformations of the modern world, which have a multi-

dimensional nature, and which almost all aspects of social existence are subject
to, seem to be inescapable and their complexity difficult to grasp. Globalization
tendencies in the world deprived the modern society of stability which was
characteristic for the modern epoch of industrial society. However, dialectical
nature of globalization determines development of societies’ ability to anticipate
dangers and coping with them at individual, social and global levels. New
chances and new possibilities emerge in micro- and macro-scale, but there are
also fears and concerns, which define the contours of the society of tomorrow.
Quality specification of new transformations in relations between globality and
locality, society and unit, and their interconnections, is by no means irrelevant to
multicontextual changes in the world of work. These changes make new
demands on employees. The vision implies a completely new perception of
reality, ways of interpreting the worlds, and new quality of judgments on the
condition of modern world – including a man as the “manager” of his own
career. The most important, subjective and internal meaning of career must be
correlated with its external traits. Therefore, personal meaning, despite being
influenced by social categories to which the individual belongs, cannot be
derived only from these categories. It is also important to consider orientation
categories which are understood as individual tendencies characterized by
lasting expressiveness. Coexistence of cognitive, normative, emotional and
behavioral components is accompanied by an objective which relates to
achievement of what, according to the individual, is worthy of desire in career.
Career commitment is characterized by development of personal career objec-
tives, devotion to these objectives, identification with them and commitment to
them. Changes in the world of “boundary-less” careers make the problem of
entity’s proactivity, that is proactive behavior of the entity in career, topical [37].
The distinctive feature of proactive planning and career management is awareness
of being an entity which follows the desired direction and influences the sur-
rounding reality by initiating changes. Proactive attitude of an entity is reflected in
the processes of pursuit and achieving objectives which, as a result, make the
entity a creator of reality rather than its forecaster. Proactive persons explore the
environment, look for the possibilities of change, go beyond the limitations
imposed by the situation, directing it in a way which allows to derive all benefits
brought by reshaping the situation. Commitment to an internally defined career

https://doi.org/10.1007/978-3-030-20145-6_62
622 A. Cybal-Michalska
may be a significant source of shaping entity’s (professional) identity, which

seems to be indispensable for the entity’s career progress in the world of
“boundary-less” careers in the reality of a globalizing world.
Keywords: Globalization Cultural pluralism “boundaryless careers”

Proactive orientation
1 Introduction
The accelerated globalization process, described as an abstract, spontaneous, and less

often as institutionalized and consciously planned one, reveals progressive universal-
ization, homogenization and transcultural character of the contemporary world, but also
progressive spatial segregation, separation, exclusion and formation of some neo-tribal
communities [1]. The specificity of globalization results not only from the contem-
porary global transformation, but also from a wide range of earlier historical processes,
hence the understanding of the essence of these dichotomies allows for a multifaceted
and better understanding of the concept scope.
It seems crucial to explain that globalization does not mean homogenization or
uniformity. Although globalization and homogenization belong to universal phenom-
ena, in the sense that these processes strengthen the awareness of the world’s integrity,
they mean “the systemic nature and interdependence of the world, and not its uni-
formity” [2]. Moreover, by locating the humanistic discourse on globalization only in
terms of universality, we see its superficiality, because, as M. Golka puts it, “none of
the mechanisms of globalization to date has encompassed the whole world and all
people living in it, it has not covered the whole world geographically nor included all
nations, all groups and all social categories” [3].
The process of transition “from a two-dimensional Euclidean space” with a clear
division into “center” and “periphery” to a multidimensional global space with “mu-
tually permeating subspaces” is a typically global one [4]. This means, that a new
socio-cultural, and political and economic hierarchy is being created on a global scale
and new synthesis of cultural forms is sought for. M. Golka draws attention to the
heterogeneous nature of globalization processes, writing that “before the advent of
globalization, the human world was built of more or less isolated cultural <islands>,
which in the era of globalization in some aspects merge with each other, while in others
are similar to each other, and yet in some simply manifest their existence and contact
one another, creating the prototypes of a new global identity revealing a complicated
multicultural character” [5]. In the face of global change “the oppositions such
as <in> vs. <out>, <here> vs. <there>, <close> vs. <far> which define the extent of
familiarization, domestication and awareness of various parts of the surrounding
reality” [6] cease to perform a function of ‘reference points’ thus indicating the lack of
transparency of perspective and cultural pluralism.
Globalization, Cultural Differentiation and Pluralism Processes 623
2 Globalization – Considerations on the Essence

of the Phenomenon
Transformations of the modern world and attempts to characterize the broad context of
processes connected with the phenomenon of globalization lead to the questions about
the genesis and scope of the concept of globalization. The term “globalization” belongs
to the categories burdened with ambiguity and is sometimes interpreted differently in
literature. The following theoretical reflections on what the concept of globalization
denotes and connotes are an attempt to approximate this commonly used and
ambiguous term by reviewing the most important definitions and seeking to identify
some of the most common elements of meaning to define the phenomenon of glob-
alization that interests us.
The issue of globalization, as a description of the common denominator for the
specificity of processes taking place in the world, has been in the field of interest of
various scientific disciplines (philosophy, sociology, political science, cultural studies,
pedagogy, economics) only recently, so there is no well-established and rich tradition.
The first sociological article whose title contained the term “globalization”, was the text
by R. Robertson (1985), entitled The Relativization of Societies: Modern Religion and
Globalization [7]. Only in the 1990s do we observe – as M. Waters puts it – “the
globalization of the term which becomes ubiquitous” and may become a category of
humanistic discourse [8]. The term has become a part of “global awareness”, a term
comprising “global” aspects. Although the adjective “global” was used much earlier to
describe “global scope” and “whole”, it is symptomatic of today’s empirical interest in
globalization to focus on the description of global interdependencies [9].
The starting point for a reflection on the broad spectrum of the issue under dis-
cussion is the recognition of globalization as a phenomenon. Globalization, according
to M. Albrov, “refers to all the issues that bring the nations of the world together in a
single global society, i.e. a global society” [10]. R. Robertson illustrates the direction of
similarly understood transformations, which cover the whole globe, claiming that
globalization is “a set of processes that form one common world” [10]. The approach
taken by R. Robertson, known as “voluntaristic theory” is based on the conviction that
individuals, societies, “systems” of societies and mankind as a whole should be treated
as a single, coherent analytical framework. Equally important in this respect is the
avoidance of reductionism, with its overtly functionalistic, utilitarian and materialistic
forms. The “global field”, as a whole, is a socio-cultural “system” which, on the one
hand, is the result of the “compression of the world” but, on the other hand, it
empowers cultures, civilizations, ethnic groups, national societies, “intra” and “cross”
national movements and organizations [11]. The processes associated with globaliza-
tion are often treated as diffusions of cultural patterns and are called westernization,
McDonaldization or Americanization, as H.P. Martin and H. Schumann point out in
their analyses, writing that “America is not everything, but without America everything
so far had been nothing” [12]. The views expressed are linked by an attempt to define
globalization as a phenomenon or process aimed at creating a homogenous world and
one common society, i.e. the world society. From the perspective of the discussed
approach, all transformations of the contemporary world are considered as cultural or
civilizational influences, covering the entire globe. It is difficult to answer the question
whether globalization is simply a process of homogenization, as the forces of frag-
mentation and hybridization are equally strong. The interpretation of globalization
which emphasizes its heterogeneous character is more convincing [13].
The opposition to the conventional theories of social modernization and lack of
interest in civilization and cultural diversity gave rise to the perspective of perceiving the
world as a whole, evolving in “globally” suggested directions. Globalization, according
to M. Golka, did not create the world in a homogeneous form and it is not known whether
this vision will ever come true. The echo of this opinion can be found in Featherstone’s
statement that the current globalization process, contrary to earlier expectations of the
increasingly homogeneous world, leads to an increasing sensitivity to differences. Con-
sequently, “we all are in someone else’s backyard” [14]. Globalization, as a phenomenon
arising from the process of differentiation and cultural pluralism of the contemporary
world, is situated in the context of L. Roniger’s deliberations. According to the author,
globalization is “both the diffusion of specific models of economic development, growth
and commercialization, as well as the adaptation or rejection of cultural patterns of
westernization that corresponds to this process” [15]. In this context, globalization should
rather be understood as a global network of interdependencies affecting individual
societies and states, so that they form part of a certain whole [5]. The most famous
representatives of the discussed approach: A. Giddens, A. McGrew and P. Streeten, argue
that globalization understood as interdependence, influence, intensification of relations
between states is an expression of perceiving the world as a network of connections and
only in this context can we treat globalization as a whole and point to its civilizational
implications. A. Giddens’s considerations base on the assumption that “globalization is
an intensification of global social relations, which connects different localities in such a
way that local events are shaped by events taking place thousands of miles away and have
the mutual influence on these events” [8]. Specifying the scope of this concept, it should
be accepted after A. McGrew that globalization “consists in the multiplicity of connec-
tions and mutual interactions of states and societies that make up the present global
system” [16]. Consequently, as L. Roniger points out, globalization is characterized by:
“the transnationalization of cultural models, the continentalization of economic
exchanges, regional transnationalization and the growing importance of locality” [15].
P. Streeten also draws attention to the aspect of deepening global connections in almost
all spheres of contemporary socio-cultural, economic and political life, defining
globalization as “the intensification of economic, political and cultural relations across
borders” [17].
The above ponderings are not motivated by a question whether the concept of
globalization refers to global consequences or global ventures. The answer to this
question is provided by Z. Bauman, emphasizing that the ubiquitous term globalization
is most often referred to global effects, “still unintended and unforeseen” and not global
initiatives and ventures. The consequence of this view is the recognition of global-
ization as a largely uncontrolled, spontaneous and irreversible process, where it is also
difficult to determine the state of globalization of the modern world, whose fate is
largely accidental at the level of global actions, dependencies and interests. The outlook
for the globalising world is therefore difficult to grasp due to its dynamic and constantly
evolving character. This view is confirmed by Z. Bauman’s reflections, according to
which “the concept of globalization conveys the indefinite, capricious and autonomous
character of the world and its affairs, the lack of a centre, the lack of an operator’s desk,
a team of directors or a board office. Globalization is another name for <a new disorder
of the world>” [18] and refers directly to G.H. von Wright’s <anonymous forces>;
forces acting in void, in obscure and unstable, untamed and unpassable <nobody’s
land>, which extends beyond the possibilities of any specific planning or activity” [19].
The above considerations indicate that the nature of the concept of globalization is
complex and it is difficult to establish its basic meaning. It can be concluded, however,
that the subject matter of this term has the character of a historical-social structure
comprising the time dynamics of many socio-cultural and civilizational processes that
constitute the image of the contemporary world.
The theory of globalization in the perspective of R. Robertson refers to the con-
ceptualization of the world, assuming the reduction of tension between the tendencies
distinguished in the dichotomous system. The essence of the development of societies
in global conditions “does not mean the process of eliminating locality, what is more,
there is no contradiction between the universal and local, between the logic of the
world system and the search for ‘domestication’ by individuals functioning in the local
dimension” [20]. As a consequence, it is crucial to emphasize the lack of one-
dimensional globalization that A. Giddens distinguishes between the two co-existing,
intertwining and determining processes: globalization and localization.
Unification and diversification are complementary processes that interact with each
other and are key to the modern phase of the development of global society. The
paradigm of globalization in the socio-cultural plane reveals itself in the binary system
of extremes: decontextualization and recontextualization (existence in isolation from
context and search for a new contextual quality), decomposition and recomposition
(decomposition of cultural structure and creation of new cultural constellations from
abstracted fragments of cultural reality), deterritorialization and reterritorialization
(detachment from the local context of cultural content and form and search for “do-
mestication” in another culture), transculturalization and internalization (culture, as a set
of interrelated, conditioned and interacting phenomena, is subject to hybrid movements
of content and cultural forms and a desire to internalise it by an individual who processes
the existing cultural material, imparts to it some meaning and expresses it in his or her
behaviour) [21]. Consequently, the analytical value of the phenomenon of globalization
indicates the need to distinguish between dichotomous processes of socio-cultural
transformation that characterize the experiences of the modern world.
In the face of the dynamics of development of the “new locality” and the explosion
of the phenomena of cultural diversity, their universality and intensity, globalization is
the result of the processes of differentiation and cultural pluralization of the modern
world, thus implying - as A. Appardurai puts it - the “heterogeneity of intercultural
dialogues” at a local and national level and reveals, as A.D. Smith indicates, the
progressive “organization of diversity” rather than the replication of unification [22]. In
this perspective, globalization realizes a wide range of problems of the global world, in
a situation of diversity, ambivalence and ambiguity, which is not without influence on
the formation of a new quality of socio-cultural life, the world of “borderless careers”.
3 The World of “Borderless Careers”
Typically, contemporary discourse on the quality of reality, factors determining

changes in the social system and the condition of man living in a “multitude of worlds”
(Z. Bauman), sentenced to search for his place in the reality subject to permanent
fluctuations, is an orientation located among the most important ones. A significant
feature of an individual’s mind is a prospective temporal orientation towards such
aspects as: anticipation of events and unintended effects of events, the ability to forecast
and plan future actions and the ability to assess the consequences, but above all the
ability to create future desirable states of things, create new variants of participation and
action [23]. Undoubtedly, the development of professional career and the process of
renewing the career capital is an important issue which requires consideration in “the
course of human life”.
Contemporary career study requires taking into account the multi-context changes
in the world of work, which impose new requirements on employees [24]. The most
important are such as the increase in the role attributed to a career and the ability to
plan, manage and monitor one’s own career in a life-long perspective. Career devel-
opment and career management programs, which are key issues for both individuals
and organizations, focus on many aspects: “From individual careers and work-life
balance to policy and strategic dilemmas such as the ageing workforce, the use of new
technology and organizational effectiveness” [25]. Looking at the problem from this
perspective, “career research is the study of both individual and organizational changes,
as well as changes in society” [26]. In the “discontinuous space-time continuum and
heterogeneous system of cultural meanings” [26] career development and shaping the
professional identity of an individual becomes a cognitive practice based on individual
experimentation. Contemporary social configuration, in which the search for identity
has become a flexible point of reference, opens up a wide range of possibilities for an
individual to create his or her own career in the course of life. It should be mentioned
that this exciting field of research and, above all, the observation that careers evolve
and somehow “emerge” from personal experiences does not have a long tradition.
As D. Super observes “the term career development did not even exist 40 years
ago. (…) It was believed that the choice of a profession is made once in a lifetime; (…)
you marry (your profession) and you live happily ever after. Well, it is not true” [27].
Basing on the assumptions to which B. Arthur, K. Inkson and J. K. Pringle draw
attention, that the cumulative values that create career competences and those that are
useful in establishing and developing a career form the capital of a career, it is nec-
essary to stress the personal appraisal of the conceptual category in question. This
means that career capital (which can increase but also lose value and be exchanged for
“fresh” capital) is - according to M.B. Arthur, K. Inkson, J.K. Pringle - “a concept that
reflects in an individual’s mind the diagnosis and forecast of the accumulated personal
resources” [28] acquired in the course of educational, professional, social and cultural
experiences. As a result, the accumulated career capital which contributes to securing
“future returns on investment (…) can be compensated in the form of security, satis-
faction, socioeconomic status, long-term employment or autonomy” [29].
4 Individual’s Proactive Attitude in the World Where

“Career Makes a Career”
The main distinguishing feature of proactivity is taking the initiative to change the
environment, which means that an individual “has the ability to shape the environment
to an extent that exceeds the ability of the environment to shape behaviour” [30]. In this
sense, the essence of subjective activity is evidenced, as A. Bubble emphasizes, by the
creation of changes rather than just anticipating them, creating the future rather than
just predicting it. “A proactive individual has no one who will adapt the living envi-
ronment to his or her needs, but only actively and subjectively, i.e. by himself or
herself, i.e. by being an agent, he or she will take causative actions” [30]. Proactive
personality is combined with proactive behaviour through a range of self-sufficiency
in role and flexible role orientation, which in turn is combined with trust from
other participants of social life [31]. “Intelligently undertaken causative activities”
(T. S. Bateman, J. M. Crant) are also a result of the influence of formal education on
the comprehensive self-education process. Consequently, A. Bańka incorporates in
proactivity constructs such activities as: individual’s involvement in undertaking per-
sonal initiatives [31], defining by an individual his or her roles by the manifestations of
self-efficacy in these roles and responsible engagement. In this context, the personnel
initiative, as M. Frese puts it, is “a measure of a human behavioural pattern in which
individuals take an active, self-initiating approach to commitments and their roles,
going beyond the formal requirements of responsibilities, tasks and commitments
assigned” [32]. The sense of “self-efficacy of the role scope” defines, as S. K. Parker
emphasizes, the ability of an individual to perform a wider range of tasks than the
formally assigned role requires [33]. Self-efficacy of a role, also known as the
assessment of one’s potential by an individual, as Gist and Mitchell stress, is a fun-
damental variable of motivation of an individual who, referring to its causative
potential, tends to perform a task more effectively, cope more effectively with changes,
set more complex objectives or use more effective task strategies. Generalised self-
efficacy, which is a global competence relating to the potential of the unit to proactively
perform tasks of an integrative and interpersonal nature, contributes to increasing the
sense of subjective causative control [34]. An important aspect of proactive status and
conditions, personality disposition, as E. W. Morrison and C. C. Phelps emphasize is
“responsible engagement”. This construct is defined as a constructive effort of an
individual to negate the status quo in order to introduce functional changes to the tasks
performed [35]. The concept of Frese, Kring, Soose and Zempel also emphasizes the
problem of personal initiative of an individual subject. It defines proactivity as “be-
haviour directed towards initiative (doing something when no one tells them and when
the role does not require it; (…) long focus, waiting for future problems or opportu-
nities), and perseverance (overcoming limitations so that changes can take place)” [34].
The observations of T. Bateman and M. Crant significantly influenced the way of
thinking about proactivity as a personal predisposition and proactivity as an engaged
attitude, which stems from conditions, needs and contextual circumstances. Proactive
people, according to the authors, are distinguished by seven interconnected features.
Emphasizing a personalist dimension in a career means concentrating on the following
features: seeking a possibility of change, establishing new effective and change ori-
ented goals, anticipation of difficulties and undertaking remedies, seeking ways to
achieve goals, following the path of activity being aware of risk, perseverance and
attaining goals, showing accomplishments and introducing changes by influencing the
surroundings [36].
5 Conclusion
The vision of the world of constant fluctuations, ideas undermining the existence of
career competences “once and for all” emphasize the need to focus on the concept of
“proactivity”. The development of career competences is in a way a postulate that
concerns human condition, which is crucial for the shape of social order. This is a
constant process of acquiring new skills by an individual and honing the ones that he or
she already possesses. Multiplicity, fragmentation, changeability and complexity of
forms of social life organization influence changes in the perception of career devel-
opment and overcoming tension between past experiences and future possibilities. An
individual being an aware creator of his or her own biography participates in the pro-
cesses of “investment” and “revival” of career capital. What can be read in the works of
E. W. Morrison, among others, is that invoking a category of proactivity makes it
possible to chart yet another field of interdependence indicating a connection between
activity of an individual and career success measured by such factors as: finding a job,
engagement, job satisfaction and a satisfying assessment of “human capital assets”, i.e.
“market value of and individual” [36]. In this sense and because of that, engagement in a
career is of the paramount importance for career development and materializes ideas of
an individual as a conscious creator of his or her own biography in the reality of the
globalizing world.
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Design Benchmarking Study Between Alessi
Products and Chinese Commodities
Li-xia Hua1, Jian-ping Yang2, Jun-nan Ye3(&), and Jing-ping Li1

1
Yiwu Industrial and Commercial College, No. 2, Xueyuan Road,
Yiwu 322000, Zhejiang, China
16650473@qq.com, 741931822@qq.com
2
Zhenjiang Business Technology Institute, No. 1988, Jichang Road,
Haishu District, Ningbo 315012, Zhejiang, China
29648319@qq.com
3
School of Art Design and Media ECUST, M.BOX 286,
No. 130, Meilong Road, Xuhui District, Shanghai 200237, China
yejunnan971108@qq.com
Abstract. Benchmarking is the ways to improve performance by comparing

with the most successful competitors in its field. Yiwu has 1.8 million kinds of
small commodities, which is the largest small commodity market in the world.
Alessi is an Italian designer and manufacturer of household goods, which is
famous all over the world for “ordinary citizens can also enjoy famous designer
products”.
In this paper, aiming at the urgent need of Yiwu small commodities to enhance
product added value, the classical design of Alessi product line are analyzed by
case analysis method, and the design success factors are summarized by KJ
method and cluster analysis method from the aspects of industrial background,
design concept, design management, product presentation and other dimensions.
The analysis results are compared with similar commodities in Yiwu market. The
existing gap and its causes between Chinese commodities and Alessi products in
the process of design are summarized and analyzed. The optimization strategy of
design for contemporary Chinese commodities based on individuation and
popularization is put forward. Finally, taking Chinese bamboo products as an
example, the design practice shows that the design strategy has good application
value. The research results of this paper have certain guiding significance and
practical value for the future design of small commodities in China, and will
further enhance the design level of small commodities in China.
Keywords: Design benchmarking Alessi products Chinese commodities

Design strategy Product development
1 Introduction
Nowadays, Chinese people’s choice of daily necessities has changed from the practical
principle, and put forward more innovative design requirements for pursuing a better
life, such as comfort, interesting, experiential, cultural, and so on. As the major gath-
ering place of Chinese small commodities, there are 1.8 million types of small

https://doi.org/10.1007/978-3-030-20145-6_63
Design Benchmarking Study Between Alessi Products and Chinese Commodities 631
commodities in Yiwu, which makes it the largest small commodity market in the world.
It will take a year to walk around Yiwu International Trade City if you stay at each store
for 3 min. Nevertheless, due to the rise of e-commerce in recent years, the agglomer-
ation of customers and merchants in the market as well as the stickiness of merchants to
the market have been sharply reduced, which leads to that the development of Yiwu has
encountered bottlenecks. For Yiwu’s Chinese small commodity market, accelerating the
transformation and upgrading as well as seeking a new development mode has become a
top priority. At the same time, in view of the fact that the problems encountered by Yiwu
are also the universal problems faced by the development of Chinese small commodi-
ties, this paper will take Yiwu as an example to explore the optimization path and
measures for the development of Chinese small commodities.
2 Benchmarking Study
2.1 Outline of Benchmarking Theory

Referring to identify the gap by comparing with the benchmark as its name implies,
benchmarking belongs to the category of management. Being put forward by Xerox in
1979 for the first time, the original meaning of benchmarking management theory is the
benign circle process in which an enterprise compares, analyses and judges bench-
marking enterprises from all aspects by taking first-class enterprises within or outside
the industry as benchmarking, so as to improve its own deficiencies, catch up with
benchmarking enterprises and pursue excellent performance by learning their advanced
experience. In James Hareton’s view, benchmarking is a systematic method and process
of searching, analyzing and researching excellent products, services, design, equipment,
processes and management practices in order to promote the genuine improvement and
enhancement of organizational performance.
2.2 Construction of Design Benchmarking Study

As an approach to achieve performance improvement by comparing with the greatest
competitors in the industry, benchmarking study is regarded to be an effective method
for organizations to realize continuous improvement and win competitive advantage.
With the continuous development of the benchmarking theory, its application has
expanded horizontally from enterprises to non-enterprise organizations such as gov-
ernments, universities and hospitals, while vertically to the optimized implementation
of various types of organizational tasks. It thus can be learnt that any organization or
event with optimization demand can be the subjects of benchmarking. In view of the
fact that design is the key technology to achieve the enhancement of added value and
the increase of product identification [1], continuous optimization of design will play
an effective role in the sustainable development of enterprises. Hence, benchmarking
management is also applicable to the optimization of design links. In this paper, the
design benchmarking study will make comparison with competitors by focusing on the
factors affecting product design, with the view of realizing continuous optimization of
design and acquisition of competitive advantage of products.
632 L. Hua et al.
3 Feasibility Analysis of Design Benchmarking Study

Between Alessi Products and Chinese Commodities
3.1 Reverse Feasibility Analysis Based on Current Situation
As a world-renowned supplier of household goods, the brand features of Alessi’s products
include superior original design, exquisite craftsmanship and amusing interaction full of
stories [2]. This is why Alessi has been able to occupy the high-end consumer market of
household goods, even become classics in the industry by virtue of a number of its products
and enjoy the high brand spillover benefits brought about by the design in society
nowadays with extremely abundant commodities. In 2017, Yiwu Small Commodity City
has 75,000 business operators, more than 210,000 employees, more than 200,000 pas-
senger flow per day and 122.6 billion Yuan of annual turnover, ranking first in the global
small commodity market. Despite its quantitative advantages, China’s small commodities
are also featured by generally low-end market oriented, fierce homogeneous competition,
an overall shorter life cycle of products, the absence of brand recognition of most products
and low price, which are all unfavorable to the sustainable development of enterprises. In
view of the fact that Alessi products are possessing what the development of Chinese small
commodities is lacking, carrying out benchmarking study on Chinese small commodity
design by taking Alessi products as a benchmark is of both feasibility and practicality.
3.2 Positive Feasibility Analysis Based on Future

Adhering to the brand development concept of “enabling ordinary citizens also enjoy
products designed by masters”, Alessi products are expected to greatly enhance the happi-
ness of the general public by providing high-quality household goods beyond expectation to
ordinary people. Chinese small commodities are also targeted at the larger masses of ordinary
people. As an international commodity capital, Yiwu is predicted by experts to achieve a 5%
increase in product added value through creativity, which is equivalent to rebuilding another
large market. It is foreseeable that human society will achieve a wonderful future on con-
dition that Chinese small commodities realize the Alessi product model one day. Alessi’s
dreams of “design factory” and “dream factory” will comprehensively improve the quality of
life of all mankind in the case that they are realized in Chinese small commodities. Therefore,
based on the expectation of the future, it is of great necessity to carry out the design
benchmarking study of Chinese small commodities with Alessi products as the benchmark.
4 Design Benchmarking Analysis of Alessi Products

and Chinese Small Commodities
Combing the development of Alessi and Chinese small commodities, the factors
affecting their design can be summed up in four aspects: industrial background, design
concept, design management and product presentation. Conducting benchmarking
analysis from the above four aspects, this paper will identity the gap and explore the
causes. Historical optimization proposals will only be taken for academic discussions
since benchmarking is the optimization of current development.
4.1 Benchmarking of Industrial Background

Established in 1921 in a beautiful town called OMEGN in the Alps of northern Italy,
Giowanni Alessi, the founder of Alessi Company, is a craftsman of metal products. He
started by making copper tableware and introduced process elements into Alessi
products. In 1932, Giovanni’s son, Garlo Alessi, took office of president of the company
and brought design genes to Alessi products since he had been engaged in industrial
design [3]. Alberto Alessi, a law graduate, joined Alessi in 1970, marking the beginning
of the development of brand design concepts due to the introduction of brand genes [4].
In view of the fact that the Yiwu market originated in the 1970s while Alessi had
experienced more than 50 years of development before that, the research significance of
Alessi’s development course and its industrial background is self-evident (Table 1).
Table 1. Industrial background benchmarking of Chinese small commodities and Alessi

products
No. Benchmarking Yiwu model Benchmarking Optimization
items Alessi [5] suggestions
1 Before 1970s Exchange After World A huge demand The support of
chicken War II, material for materials after development
feathers for shortage, World War II; The concept is
sugar spontaneity, development required in the
embryonic stage, concept of “craft + early stage of
solution of design + culture” development
survival, no was formed
development through family
concept inheritance and
three generations
2 1980s Huqingmen With China’s Accompanied by The business card
Market and reform and Italy’s economic effect of small
Xinma Road opening up, boom are the commodities has
Market large-scale introduction of to be addressed
development, various design even in case of
iterative renewal masters and the demand
of physical space, emphasis on exceeding supply
inferior quality cultural heritage
and low price [6]
3 1990s Shaoyuan With the rapid Abundant It is required to
Market, development of materials, weak have crisis
Chengzhong China’s economy demand, awareness,
Road Market come the technological innovation
and Binwang iteratively innovation, awareness and
Market renewing spatial optimization of inheritance
subdivision as brand style of awareness
well as the enjoyment
consciousness (Italian national
and action of culture) [7]
upward
development
(continued)
634 L. Hua et al.
No. Benchmarking Yiwu model Benchmarking Optimization
items Alessi [5] suggestions
4 Contemporary International Along with the The world’s best Achieve the
21st century Trade City boom of China’s household goods constant stability
economy, the company, of product style
world’s largest globalization and expansion of
small commodity strategy, the global mid-high-
market, a symbol of Italian end market by
complete range national culture seizing the
of categories, opportunities of
globalization the times,
strategy, impact adopting the
of e-commerce, strategy of
development “process + design
bottlenecks + brand +
culture” and
abiding by the
guidance of
Chinese culture
4.2 Benchmarking of Design Concept

As one of Alessi’s two core competitiveness, design concept can be divided into two
levels. The first is the value cognitive dimension of the design concept, that is, the
value evaluation of the design elements themselves to the development of the enter-
prise, while the other is the implementation dimension of the design concept, that is, the
performance of the design style planned by the enterprise’s market orientation for its
product line (Table 2).
Table 2. Design concept benchmarking of Chinese small commodities and Alessi products
No. Benchmarking items Yiwu model Benchmarking Optimization
Alessi suggestions
1 Design concept Technology- Lack of emphasis Adhering to the Eliminate rough
cognition oriented on design and fine technology manufacturing
carry out repetitive and strict product even in the
production with quality, designers absence of design
low-end processes participate in the requirements
and technologies whole process of
for a long time product research
and development
at the beginning of
its establishment
(continued)
No. Benchmarking items Yiwu model Benchmarking Optimization
Alessi suggestions
Art-oriented Emphasis on Ensure the avant- Create an
design, small garde design style innovative
overall volume, of the whole line atmosphere,
low design level, of products on the increase
market basis of adhering investment in
classification, to exquisite innovation,
emerging high- craftsmanship, encourage
quality products such as artistry, exploration of
and the emergence individuality, innovation and
of leading interestingness and enhance the
enterprises humor proportion of
innovation
Technology Double High-tech Introduce
and Art Dual- breakthroughs, the enterprises and concepts and
Driven prevalence of products increase volume
cooperation positioning,
models such as hot cultural
articles and introduction, style
huddling, the stabilization, self-
emergence of transcendence and
invisible accept new stage
champions, the of development
exploratory stage
2 Implementation Spontaneous Passive design Active design Lead the market in
of design Design based and rapid based on cultural addition to
concepts response on cognition of following the
market demand families and market
nations
Autonomous Market-oriented Carry out open Strengthen
Design and independent design under the product
brand awareness unified concept of development with
cultural cognition, autonomous brand
which leads to a concept, create hot
variety of forms articles and lead
and the frequent the market
emergence of
classical products
Brand Design Unify brand Unify brand It is equired to
concept and carry concept as well as constantly
out research and optimize and optimize and
development of solidify the solidify brand
design in research and concept
accordance with development of
brand positioning design
636 L. Hua et al.
4.3 Benchmarking of Design Concept

Engaging full-time designers in the initial stage of its establishment, Garlo, the second
generation leader of Alessi, was a designer himself. At the same time, a number of
designers were hired to serve Alessi, which ensured that it had the foundation and
demand of design management since the very beginning. As Alessi’s third generation
heir, Alberto Alessi positioned himself as a “the designer of designers”. It was at this
time that design management skills became another ability of Alessi’s two core
competitiveness (Table 3).
Table 3. Design management benchmarking of Chinese small commodities and Alessi products
No. Benchmarking Yiwu model Benchmarking Alessi Optimization
items suggestions
1 Design Being taken charge of Collaborative Achieve design
management in by business owners or management is carried recognition, hire full-
the initial stage production out by business owners time designers and
and designers, with
supervisors, the design establish design
is despised and the technology as the core management
management is out of and the recognition of awareness
order design, disorderly
management with
orderly consciousness
2 Design Collaborative Be managed by Assign personnel to
management in management is carried business owners, consider design
exploration out by business owners maintain the tradition strategies and
stage and designers, of handicraft, adopt the establish orderly
emphasizing design, mode of cooperation management system
being design- between consultants
conscious yet not and designers, as well
style-conscious as seek independent
product style
awareness
3 Design Implement the Implement top-down Promote the status of
management in collaborative management mode, design, open up top-
the stage of management led by confirm brand strategy down communication
brand strategy business owners, the and ensure the channels and
execution of projects is realization of design implement
under the objectives by creating management in line
responsibility of the conditions with systems
director of R&D
department, place great
emphasis on design
but lack the efficiency
of execution
4.4 Benchmarking of Product Presentation

As shown in Fig. 1, the three products are selected from products designed by different
designers at different stages of Alessi with high identifiability. They are unique,
amusing and full of stories, while the simple and bright colors as well as the delicate
metal and plastic texture make them home furnishings and chat topics even if being not
used. In addition, they also have specific and multi-level usage functions. Exquisite
craftsmanship and exquisite workmanship make them even work of art. Apart from
promoting the realization of functional objectives, the ingenuity in structure is also
lovely and conducive to the consolidation of brand connotation. In view of the increase
of design implantation and consumer acceptance, the rise of cost rise is actually ben-
eficial to the enhancement of value. Chinese small commodities will seek their own
optimization paths by benchmarking Alessi in terms of shape, color, material, envi-
ronment, function, craft, structure, cost, etc. (Figs. 2, 3 and Table 4).
Fig. 1. Bottle opener Fig. 2. Squeezer.
Fig. 3. Swab box

638 L. Hua et al.
Table 4. Product presentation benchmarking of Chinese small commodities and Alessi products
items suggestions
1 Modeling Changeable modeling Unique and various Storytelling original
yet are mainly shape, strong modeling
imitation, thereby interaction, with
there is a lack of humanistic care and
original and classical cultural heritage
modeling
2 Color Without distinct color With both pure and With distinct product
planning and market- bright color, color recognition
oriented coexistence of information
vibrancy and elegance,
with color preference
[9]
3 Material Unlimited material, Mainly in copper, Focus on the
homogeneous stainless steel and development of the
material, plastics, the materials’ texture of materials
heterogeneous characteristics can be themselves
material, cost-oriented maximized by
and great deviation combining with
technologies
4 Environment Less consideration of Classic design, Implant green design,
environmental factors, exquisite improve product
high product waste craftsmanship, quality and create
rate and high aesthetic value of harmonious nature
environmental load works of art, low
product waste rate of
and environment
friendly product
brands
5 Function Advanced usage Instead of merely The usage function is
functions considering focusing on usage merely the basis, while
the price, the image of functions, more products are expected
high quality and low interactive functions to present more
price is advocated are implanted to humane expressions
delight consumers and
increase humanistic
feelings
6 Structure Despite the fact that The incredible In addition to
commercial structural structural design is full achieving the
design is conducive to of originality, which functional objectives
the realization of attracts people to of products, structure
functions, the experience can also promote the
innovation is brand image of
insufficient products
(continued)
items suggestions
7 Craft Handicraft products Inherits the traditional As a guarantee of
contain the inheritance handicraft standards, quality, the technical
of crafts, and generally carries out the high- requirements of the
low-level products are tech crafts and is crafts should be
sold in batches renowned for upgraded and uniform
domestically exquisite standards should be
craftsmanship applied to all products
8 Cost Sophisticated cost There is considerable Develop upward, lay
accounting and profit margin between out in high, middle
extremely strict cost costs and selling and low-end markets
control, while the prices, and the as well as establish the
above seven elements products always product model with
can even be sacrificed present their optimal positive correlation
state between cost and
profit
5 Establishment of Alessi Benchmarking Model
Alessi’s success will be regarded as one of the crucial reference models for the
development of Chinese small commodities. Based on the above study on design
benchmarking of Chinese small commodities and Alessi products, this paper achieves a
comprehensive construction of Alessi benchmarking model for Chinese small com-
modities by teasing out the above benchmarking analysis and optimization suggestions
(Fig. 4).
Fig. 4. Alessi benchmarking model

640 L. Hua et al.
6 Application Practice of Alessi Benchmarking Theory

in Bamboo Products
As a manifestation of the combination of Chinese traditional handicraft and aesthetic

art, bamboo weaving has been developing for thousands of years. “Every piece of
bamboo is weaved with one thread”. The natural deduction of each technique is the
embodiment of the wisdom and craftsmanship of Chinese working people.
Fig. 5. Transformation case of bamboo handbag
Figure 5 shows the product displayed in the road show of the 10th Anniversary of
the 10th Zhejiang Industrial Design Competition for University Students in 2008
hosted by Yiwu: “The Charm of Bamboo: Redesign of Bamboo Baskets in the Yangtze
River Delta”. The shapes of “square” and “bucket circle” embody the inclusiveness of
oriental culture through the integration of “traditional culture” and “modern popular
elements”. In terms of material and color, it adopts collocation of leather and bamboo
while the warm-colored leather similar to the color of bamboo is used, thereby enable
the work present a gentle and elegant oriental taste by taking full advantage of the
hardness of leather and the toughness of natural bamboo, that is, “like the charm of
bamboo”. From the perspective of environment, all materials used of this work are both
natural and renewable, which coincides with the concept of green design. Functionally,
apart from realizing the usage function of handbags, it also makes an attempt to narrate
Chinese stories, which is the innovation and inheritance of bamboo weaving culture of
China. In terms of technological structure, while bamboo strips are adopted in the
“round handbag with bamboo charm” for three-dimensional forming and splicing with
leather materials in the middle, the round bottom of “square handbag with bamboo
charm” is fixed with moso bamboo, which makes the whole splicing structure without
any joints and burrs, so as to convey the beauty of crafts. In view of the high cost of the
product, it will occupy considerable market space based on Alessi’s successful
experience of the positive correlation between cost and profit. After the road show, the
product has won high praise from experts of the industry and entered the stage of
market transformation.
7 Conclusion
Since its establishment in 1921, Alessi has set up a worldwide brand image of “indi-
viduality” and “universality” based on high quality by virtue of its exquisite crafts-
manship, unique design and amusing products. Oriented by Chinese people’s demand
for a better life, Chinese small commodities will directly face the transformation of
development and benchmark more precisely with Alessi, while design optimization
will be taken as an effective measure for Chinese small commodities to achieve the
improvement of competitiveness and satisfaction of consumers’ demand.
References
1. Wu, Q., Wang, Q.: Application of semiotics trichotomy in the design of qing palace series
products of Alessi. China Packag. Ind. 22, 157–158 (2014)
2. Zhang, T.: Pattern of design and art reread the design of Alessi. Packag. Eng. 28(1), 140–142
(2007)
3. Collins, M.: The ALEESI (Trans. by Li, D.). China Light Industry Press, Beijing (2002)
4. Alessi, A.: The Dream Factory: Alessi Since 1921. Konemann Press, Milan (1998)
5. Chu, X.: Two transformations and enlightenments of Alessi’s design after 1945. Decoration
12, 112–113 (2011)
6. Li, Y.: A preliminary study of Alessi’s design culture. J. Jilin Eng. Norm. Univ. 33(12), 78–
79+90 (2017)
7. Chen, Z., Zhang, H., Xu, X.: Research on amusement design in product design: take Alessi’s
anna wine bottle opener as an example. Art Des. (Theory) 2(05), 98–99 (2016)
8. Liu, X.: Enlightenment of Alessi’s design aesthetics to design management. Packag. Eng. 33
(12), 124–128 (2012)
9. Wang, Y., Qiao, X., Hui, L., Zhu, M.: Application analysis of Alessi in product identification
design. West. Leather 40(21), 81–82 (2018)
Influential Factors in Cross-Country
Standards Adoption from
a Macroergonomics Perspective
Qinyi Liu, Liang Ma(&), and Phairoj Liukitithara
Department of Industrial Engineering, Tsinghua University, Beijing 100084,

People’s Republic of China
{liuqinyi,liangma}@tsinghua.edu.cn,
liukx16@mails.tsinghua.edu.cn
Abstract. With the acceleration of the global integration, an increasing number

of projects which require multinational cooperation are carried out worldwide.
Standards, as the common requirements and rules for companies involved in
these cross-countries projects, become one of their primary concerns. However,
different countries vary distinctly in standard systems and there are also sub-
stantial discrepancies among their standard contents under the influences of
culture background, organization management, language, team behaviors,
political issues, regulatory rules and other human factors domains. And thus,
there can be many obstacles when companies endeavor to comply with more
than one standard at the same time. Confusion during the process of standards
adoption, according to statistics, is capable of causing a great loss, from the
perspective of both economics and human resources. We conducted an in-depth
literature review to generate a conceptual framework, which can orderly sim-
plify cross-country standards adoption (CSA)’s factors. Afterwards, we identi-
fied potential influential factors in cross-country standards adoption from a
macroergonomics perspective, and provided a new approach to cross-country
standards adoption CSA’s study. More than 20 influential factors and around 40
indicators were summarized in our framework and key human factors related
influential factors were discussed in this paper. Under the framework with those
factors identified, it is promising to evaluate their impact quantitatively by using
indicator(s) for each factor, and finally to propose insightful guidelines to
smooth the process of cross-country projects, particularly in the areas of
architecture, transportation and infrastructure construction.
Keywords: Human factors Cross-country standard adoption Cultural barriers

Macroergonomics
1 Introduction
With the acceleration of the global integration, an increasing number of projects which
require multinational cooperation are carried out worldwide. Standards, as the common
requirements and rules for companies involved in these cross-countries projects,
become one of their primary concerns. However, different countries vary distinctly in

https://doi.org/10.1007/978-3-030-20145-6_64
Influential Factors in Cross-Country Standards Adoption 643
standard systems and there are also some discrepancies among their standard contents
under the influences of culture background, organization management, language, team
behaviors, political issues, regulatory rules and other human factors domains. And thus,
there can be many obstacles when companies endeavor to comply with more than one
standard at the same time. Confusion during the process of standards adoption,
according to statistics, is capable of causing a great loss, from the perspective of both
economics and human resources.
It is acknowledged that standards adoption is a complicated decision-making
process [1]. Adoption unit decides whether to use particular standards and to what
extent. In regards to cross-country standards adoption (CSA), four aspects were pro-
posed to understand CSA [2], which include global environment, national environment,
national policy, and adoption decision factors. Although this framework provides a
useful foundation for CSA, there are few papers summarizing the possible influential
factors in details. There have been imperfections in the framework serving as useful
guidelines for CSA without the consideration of possibilities of influential factors. In
addition, the four factors of global environment, national environment, national policy,
and adoption decision are closely related to human factors for the decision process of
standard adoption is fully influenced or operated by people involved in the decision
procedure. Therefore, the paper aims to summarize the human factors in this procedure
to smooth the CSA procedure from a macroergonomics perspective.
We will conduct an in-depth literature review on CSA by reviewing 40 CSA studies
to build up the CSA framework. Moreover, we will list out possible influential factors
and discuss them with consideration of human factors.
2 Method
Research questions or contents are as follows. First, what constituents the CSA
framework? Second, what are the human influential factors in the CSA framework?
In order to analyze the influencing factors of CSA, we conducted literature review
to identify the standard dimensions, select literature focusing on human factors, and
identify macroergonomics indicators.
• Identification of Standard field: CSA studies within the framework of ISO’s ICS
(International classification of standards) were reviewed to identify and clarify the
40 standards fields.
• Literature Collection: the CSA studies in that field as keywords in the field by
using cross-country standard adoption and cross-country technologies adoption
were searched with the time range from 1990 to 2017. The papers which did not
concentrate on standards adoption and its influential factors were excluded. To
summarize, about 40 CSA studies are reviewed. Although we are not capable of
collecting papers in all the fields, the CSA’s factors in each field are relatively
similar and comparable. Therefore, our efforts to gather a large number of studies in
several fields should cover most of the potential factors.
• Identification of Factors and Indicators: the CSA studies were reviewed in detail
to gather the common factors into CSA’s framework, which are four levels by the
644 Q. Liu et al.
cause of factors: “Global Environment”, “National Environment”, “National Policy”

and “Adoption Decision factors”.
• Identification of Possible Influential Factors: reviewing 40 studies, including
CSA studies, the CSA’s factors, and factor’s indicators, the possible factors which
might influence CSA were clarified.
• Identification of Macroergonomics Related Human Factors: among those
possible influential factors, we identify macroergonomics factors by using expert
method. Human Factors/Ergonomics experts were asked to analyze and evaluate the
possible macroergonomics contribution among those factors.

3.1 Influential Factors in CSA
In this section, CSA’s influential factors are identified and listed orderly in a framework
(Table 1). The framework was generated by extracting the factors mentioned in CSA
case studies, and those factors were placed into different perspectives according to the
framework mentioned in [2]. The possible indicators (or index) were suggested
according to the literature to assess each factor’s influence on CSA.
Table 1. CSA potential factors and possible indicators

Cross-countries Reference (s) Indicator(s)
standards adoption
factor
Global environment
Cultural Cooke et al. [3]; Nobes [4]; Zeghal Industrial, pollical, language
membership in a et al. [5] impact
group of countries
Presence of Cooke et al. [3]; Mueller et al. [6]; MNC in GDP sectors
multinational Wang et al. [7]
corporations
Economic Cooke et al. [3]; Mueller et al. [6]; Economic commitment,
relationship AlHashim et al. [8]; Saudagaran et al. relationship period,
among countries [9]; Černe [10]; Chan et al. [11] transaction
The development Chan et al. [11]; Comin et al. [12] Level of technology and
of a country’s innovation [ISI], quality of
trading partners life
Existing of Cooke [3]; Nobes [4]; Saudagaran Historical standards adoption,
reference standard et al. [9]; Wang et al. [13] referenced of the
international standard
National environment
Economic Cooke, et al. [3]; Zeghal et al. [5]; GDP per capita
condition AlHashim et al. [8]; Comin et al.
[12]; Zehri et al. [14]; Brekke et al.
[15]; Lakka et al. [16]
(continued)
standards adoption
factor
Human capital Cooke et al. [3]; Zeghal et al. [5]; Literacy, education index
(Education level) Mueller et al. [6]; Saudagaran et al.
[9]; Zehri et al. [14]; Lakka et al. [16]
The degree of Cooke et al. [3]; Zeghal et al. [5]; Export, import, GDP
external economic Comin et al. [12]; Zehri et al. [14];
openness Lakka et al. [16]
The existence of a Gibbs et al. [2]; Cooke et al. [3]; Capital market system, level
capital market Nobes [4]; Saudagaran et al. [9]; of globalization of capital
Zeghal et al. [5]; Mueller et al. [6]; markets
Černe [10]; Zehri et al. [14]
National culture Gibbs et al. [2]; Nobes [4]; AlHashim Hofstede’s cultural factors
et al. [8]; Černe [10]; Zehri et al. [14]
Demographics Gibbs et al. [2]; Cooke, et al. [3]; Population density,
Saudagaran et al. [9]; Černe [10]; percentage of professional,
Comin et al. [12]; Wang et al. [13]; wealth distribution
Lakka et al. [16]
Level of country Cooke et al. [3]; Mueller et al. [6]; GDP per capita, quality of
development Saudagaran et al. [9]; Černe [10] life
National Gibbs et al. [2]; Chan et al. [11]; Infrastructure and
infrastructure Comin et al. [12]; Lakka et al. [16] connectivity index
Existing of Wang et al. [13] Standardization structure,
cooperation for level of standardization
standardization enforcement
National resource, Cooke et al. [3] Resource domestic
geography, production, geography,
climate concern climate condition
National policy
Political system AlHashim et al. [8]; Černe [10]; Political system, democracy
Zehri et al. [14]; AlGhamdi et al. [17] index
Effectiveness of AlHashim et al. [8]; Saudagaran et al. Strength of legal rights index
legislative [9]; Černe [10]; Comin et al. [12];
Wang et al. [13]
Existing of Gibbs et al. [2]; Comin et al. [12] Standard setting procedure,
standard setting standard setting committee
procedure
Government Gibbs et al. [2]; Chan et al. [11]; Existing of government
support Wang et al. [13]; AlGhamdi et al. supporting organization for
[17] CSA
Supporting policy Lakka et al. [16]; AlGhamdi et al. Service trade restrictiveness
[17] index, international
intellectual property index
(continued)
646 Q. Liu et al.
standards adoption
factor
Adoption decision factors
Relative advantage Wang et al. [7]; Chan et al. [11]
Technology Wang et al. [7]; Chan et al. [11]
complexity
Compatibility with Chan et al. [11]
existing
technologies
User attitude Wang et al. [7]; Gibbs et al. [2]
toward technology
Top management Wang et al. [7]; Chan et al. [11]
support
Organize size and Cooke et al. [3]; Mueller et al. [6];
complexity Černe [10]; Chan et al. [11]
Technical and Chan et al. [11]; Brekke et al. [15]
financial
feasibility
3.2 Human Factors from a Macroergonomics Perspective

From a macroergonomics perspective, human factors play different roles at the four
different levels in Table 1.
On Global Environment, it could be concluded that the openness of a country/an
organization would influence the standards adoption among different countries. The
openness could be evaluated by its culture closeness to the other countries, acceptance
of multinational corporations, and international trading partners. It is believed that if the
more active towards the international trade or towards a specific group of countries, the
easier for the country to accept international standards or standards from the other
countries. We find that globalization and international trade did drive the acceptance of
international standards into some developing countries. Due to the reform in China, it
has a high openness to the international market, and during the economic booming,
there were also several international standards from ISO or EN (European standards)
served as national standards for promoting and facilitating international trade.
On National Environment, human capital (education level), culture and demo-
graphics are closely related to human factors. Taking culture as an example, according
to the studies from Hofstede [18], different countries have different cultures, which can
be compared from five different dimensions, including power distant index, individu-
alism index, masculinity index, uncertainty avoidance index, and long-term orientation
index. Those potential dimensions would influence the possible cooperation in stan-
dards and mutual understanding in CSA. The other factors in the national environment
have a more or less relationship with human factors.
On the National policy, it is indirectly influenced to certain extent by human

factors. For example, the top management and strategy of a country or an organization
are determined by the value of the top managers. Their value towards other part of the
world would determine the acceptance of standards from the other country or orga-
nization. Regarding the standardization procedure, it is closely related to the value of
the society and all the stakeholders involved in this procedure would behavior and
make decisions based on their shared value.
On Adoption Factors, three factors, user attitude toward technology, top manage-
ment support, size and complexity of an organization, are regarded as closely human
related factors. User attitude toward technology would determine the acceptance of new
technology, and positive attitude of the public would drive the acceptance of new
standards. Efficient management system would facilitate the standards adoption pro-
cedure by avoiding unnecessary negotiation and discussion on issues which might be
encountered during the CSA.
Above all, language for standards and its supporting eco-system is also one
potential barrier for standards adoption. The language issue occurs all through the
whole procedure of CSA, and the barriers include translation of technological terms,
specification in standards, and the whole supporting system for one standard, since the
standard cannot stay alone with the other relevant standards. Adoption of one standard
sometimes means to adopt a whole new sub-system in a country’s standards system.
That would bring more obstacles and more challenging issues.
4 Conclusion
In this paper, based on a framework of CSA, we conducted an in-depth literature

review on cross-countries standards adoption studies. We collected and confirmed 27
factors which would influence the standards adoption across countries. The possible
indicators were also suggested to evaluate the corresponding factor. We identified
possible human factors issues in those factors, and we hope we could find an approach
to smooth cross-country standards adoption by considering all the factors carefully
mentioned in this paper.
Acknowledgments. This research was supported by the Ministry of Science and Technology of
People’s Republic of China under the grand number 2017YFF0209505.
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e-commerce diffusion: a cross-country comparison. Inf. Soc. 19, 5–18 (2003)
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Publishing, Burr Ridge (1997)
7. Wang, X., Zander, S.: Extending the model of internet standards adoption: a cross-country
comparison of IPv6 adoption. Inf. Manag. 55, 450–460 (2018)
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Boston (1992)
9. Saudagaran, S.M.: International Accounting: A User Perspective. Southwestern College
Publishing, Mason (2004)
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Istraživanja 22, 66–97 (2009)
11. Chan, F.T.S., Chong, A.Y.L.: A SEM–neural network approach for understanding
determinants of interorganizational system standard adoption and performances. Decis.
Support Syst. 54, 621–630 (2012)
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facts. J. Monet. Econ. 51, 39–83 (2004)
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construction standards in China. Struct. Surv. 34, 367–378 (2016)
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Psychol. Cult. 2, 8 (2011)
Cross-Cultural Motivations for Information
Sharing in Incident Management
at Major Events
Guadalupe Hernández-Escobedo1(&), David K. Allen2,

Alan D. Pearman2, and Claudia Alejandra Ituarte-González1
1
Departamento de Ingeniería Industrial, Instituto Tecnológico de Tijuana,
Tecnológico Nacional de México, Calz. Tecnológico s/n, Fracc. Tomás Aquino,
22414 Tijuana, Mexico
ghernan@tectijuana.mx,
claudia.ituarte17@tectijuana.edu.mx
2
Leeds University Business School, Maurice Keyworth Building,
The University of Leeds, Leeds LS2 9JT, UK
da2@lubs.leeds.ac.uk, a.d.pearman@leeds.ac.uk
Abstract. The purpose of this paper is to explore how the motivations for
sharing information exhibiting aspects of cross-cultural differences and how
decisions undertaken by diverse organizations participating in incident man-
agement at major events interact. This context is natural and challenging, one
that embraces routine and contingent incidents involving varied and linked
organizations serving as incident responders. Here, a qualitative and interpretive
paradigm was used in order to obtain a clear picture of the context. Activity
Theory served as a conceptual and analytical tool providing the basis to discover
the mentioned elements. Diverse themes were recognized exhibiting those
revealed from incident responders. Diverse motivations were uncovered through
the actions undertaken in sharing information. These similarly revealed the
cross-cultural differences and decisions between organizations using information
sharing in a context that could shape the performance of incident responders.
Keywords: Motivations Cross-cultural differences Information sharing

Incident management Activity theory
1 Introduction
Incident management commonly requires a unified effort from emergency services such
as the fire services, the ambulance services and the police and some individuals serving
as incident responders. Uncertainty and complexity are two attributes that require a
great of deal of attention [1]. Additionally, incidents under time pressure, typically
involve conflicting information and an ever-changing environment, in particular the
administration of incidents at major events. Major events are defined in this paper as
social or public situations that take place with the objective of diverting a group of
individuals who have relaxation aims in a given place [2]. Incidents are any unusual
situation that could lead to the loss or disruption of routine operation. Incident

https://doi.org/10.1007/978-3-030-20145-6_65
650 G. Hernández-Escobedo et al.
management is a set of tasks that are performed before, during and after routine or
contingent incidents with the goal of preventing casualties, reducing their impact on
infrastructure and returning to a state of normalcy as routine operation. When both
incident responders, volunteers and the public came together to manage incidents, the
various issues just described are often more prominent.
Recent research has identified issues in relation to information sharing behavior.
There is evidence that poor information sharing can lead to a lack of situational
awareness in incident management at major events. Situational awareness is the cre-
ation of a rich picture of what is going on [3] during incident management, a chal-
lenging task in which potentially clashing organizations and individuals converge.
Situational awareness allows individuals to be aware of problematic situations in order
to manage them, for example diminishing the number of casualties and damage to
infrastructure. A crucial element is communication or information sharing between
those involved in incident management. Additionally, the information behavior for
sharing information and the type information required to make decisions are two
factors related to this behavior. Here, information management is a vital element, with
uncertainty and complexity minimized through it.
Information management requires control and collaboration between those
involved in incident management. Similarly, the recognition of the future states of
incidents and uses of technologies are additional elements contained. Especially, it is
important to recognize the changing dynamics such a context. For instance, collabo-
rative work fails once information is not effectively distributed [4]. In fact, information
sharing is a critical issue as represented by the giving, receiving or exchanging
information activities of individuals and organizations. Thus these activities similarly
exhibited motivations for sharing information. Motivations are the energization and
cause of individual conduct. In the same way, the motivations implicitly show residues
or issues of cross-cultural differences and decisions that impact on the performance of
incident responders on incident management. According to current literature, organi-
zations and individuals make decisions overtime and one relevant factor affecting them
is culture. This factor represents the individuality in the decision-making process that
also reveals the diverse factors affecting behavior of decision makers. On the other
hand, information sharing has been used to create a rich picture of incidents in order to
define courses of action that consequently should be performed to manage them.
Related to motivations, the purpose of this paper is to explore those residues of the
cross-cultural differences and decisions in incident management, which are correlated
with information sharing used to create a rich awareness of incidents at major events.
Initially, a review of the current literature referring to information sharing including
its motivations, outcomes and types, and cross cultural differences is presented. Sub-
sequently, a methodology is described and then the research results. Finally, the
conclusions and recommendations are set out.
Cross-Cultural Motivations for Information Sharing in Incident Management 651
2 Literature Review
2.1 Information Sharing
Information sharing has been studied through from diverse communication and
information behavior lenses; however, the information behavior perspective has been
chosen for this paper. In the current literature, information behavior and information
practice is used interchangeably [5], but the first one is preferable over the second.
Moreover, some authors suggest that information behavior is investigated from a
cognitive angle and information practice, from a social constructionist angle. Never-
theless, both approaches give richness to our understanding of information behavior in
the current context. The cognitive side helps to understand behavior and the social
constructionist helps to comprehend the collaborative nature of incident management
and information sharing. In other words, information behavior includes cognitive and
social dimensions [6] and information sharing is seen as its nested component.
Current theories of information sharing have been aligned to this context, the
approach taken, outcomes of information sharing, and future research [4]. These theories
allow simplifications of the decision-making process after the employment of infor-
mation sharing on it. For this, it is important to consider how information sharing is
studied including the paradigms, the assumptions and its research methods. Interpretive
strategies help with that study, specifically if information sharing is studied in an
unexplored context. Actually, the investigation of motivations for sharing information
and issues of cross–cultural differences and decisions are gaps in the knowledge.
From a theoretical point of view, information sharing can be seen from an indi-
vidual perspective as the connection between individuals and the use of technological
tools, their responsibilities in the process, their roles in organizations and some of the
situations in which individuals are immersed [7]. Furthermore, information sharing is
implicated in the relationships between individuals in collaborative environments by
seeking, interchanging and using information [8]. This suggests that information can be
studied from a basis of the consideration of the perspective in this study: individual,
collaborative and/or both.
2.2 Motivations for Sharing Information

There are many definitions of information sharing. It is necessary to identify one
suitable for the context of this study. For the present paper, we understand information
sharing as the activity of providing information to other individuals upon request or
proactively for impacting the image of the world that they have so that they can create a
shared or compatible image of their understanding of the world [4].
Motivations are linked to a cognitive approach in line with the attitudes of indi-
viduals towards sharing information; but at the same time, also expecting reciprocity in
that sharing [9]. It is understood as social exchange of self-interest of individuals
participating in that exchanging. Another motivation is trust that has been developed
within the social and continuous interaction between individuals [10]. It could be
between individuals and another, or between individuals and their organizations.
However, trust is difficult to develop in those contexts in which multiple organizations
converge, as the case for incident management at major events. Sharing information
between individuals at the same organizational level but from different organizations is
another studied motivation. Here, the individual´s role and its implications were factors
that impacted in information sharing. Similarly, ethical issues were another motivation
investigated relating to the moral standards of individuals; but at the same time, they
were correlated with the background of individuals and the social norms that existed in
the contexts [11]. Additionally, there were other motivations such as the attitudes
enclosing positive self-identity and self-expression, the strength of social relationships,
leadership foundations, the decrease of spatial proximity, the consideration of swift
trust, the surface credibility, and the reconsideration of ethical issues and attitudes for
sharing minimal information, among others.
On the other hand, motivations connected with the social constructionist approach
were found in the professional culture. This was based on the background and expertise
of individuals in working environments and was notable in the language employed
[12]. It was common that groups were created in organizations that showed charac-
teristics similar to those of individuals, which permit or inhibit information sharing
between those groups. In this way, organizational climate is another motivation for
sharing information. It includes common working practices, shared beliefs and value
systems followed by organizations. For example, it is seen in the social interaction
between the authority and the operational personnel, and the type of structure followed
by organizations. A centralized and integrated structure can affect information sharing.
Two additional motivations are sociability and solidarity, which belong to the orga-
nizational culture. Sociality relates to reciprocal relationships between individuals;
solidarity is the strong relation between individuals and their organizations. Both are
factors affecting information sharing. Nevertheless, this is not seen in fragmented
organizational cultures affecting directly information sharing. In other words, cultural
diversity can affect information sharing. In addition, security, employability and
rewards are other motivations under this approach.
2.3 Outcomes of Information Sharing

Sense-making is a way to understand unknown, unstructured and information rich
situations and it helps to bridge cognitive gaps existing in new situations in context
[13]. It also helps in explaining the basis of collaborative contexts giving the oppor-
tunity of understanding unpredicted and unfamiliar situations and to confirm well-
known situations. The next outcome is social meaning that indicates those emerged
understandings from shared human experiences and understandings [14]. It is an
iterative process for individuals via information sharing in which the experiences and
understandings are clearly constructed by them. Here meaning is seen as a social
construction helping in the social world of individuals. Common ground is the sub-
sequent outcome and is associated with the information, beliefs and knowledge that a
group has in common [4]. These are the creation of common groundings between
individuals through vivid interactions, but when they are present in groups, collabo-
rative behavior disappears opening the opportunity to reappear as information sharing
between individuals and groups. The final studied outcome is situational awareness.
This refers to the continuous extraction of information from the environment in which
individuals are immersed, so they can predict future states of situations [15]. Moreover,
it establishes initial knowledge at an individual level and a capacity to extract infor-
mation from context so that individuals can foresee the near future situations.
2.4 Types of Information Sharing

The first type of information sharing was related to being information providers, which
similarly served as information intermediaries between libraries and their users [16].
Individuals had two roles within the libraries, as information providers offering updates
among other services and information intermediaries between users and libraries
looking for information. The second type was in reference to the experiences of
individuals seeking information at individual and/or collective levels [17]. It included
the degree of encountering information and sharing information in a one-way process
as provider or receiver. The third type was considering the roles of individual in
collective and collaborative contexts within academia. It contained activities focused
on increasing the efficiency of the process of information sharing, opening to new
research approaches, relationships between students and teachers and social relation-
ships [18]. The next type is concerned with the patterns of information sharing in health
and social services, which exhibit motivations for sharing information and the assur-
ance of complete reception of information and its understanding [12]. This also implied
sensitive information that could be regulated within the context in study. The last type
is linked with the factors influencing information sharing within the context of the
operation of supply chains in small and medium businesses [19]. The factors were
types of information shared, level of detail, distance between information providers,
involvement of individuals, frequency and timeliness.
2.5 Cross-Cultural Differences

In the current research referring to cross-cultural differences, there were found diverse
approaches utilized to study them. A great number were focused on the nature of the
individual decision-making process. Principally, they used cognitive views in order to
understand that process in diverse contexts [20], specifically in those situations were
individuals have been confronted with decision situations. The marketing area has
benefitted from this kind of research focusing on consumer decision-making styles
[21]. On the other hand, researchers were interested at a collective level in using culture
as a frame to measure the tendencies in that process. They proposed that culture is a
relevant factor affecting that process, but complexity increased when it involved a clash
of cultures. Here, the understanding of the cross-cultural differences is as the trans-
formation of the outcomes of diverse human activities. For instance, some research has
been developed to understand the shopping habits of young European [22]. Moreover,
one context in study is its use in comprehending the design and use of digital media
[23], among other types of studies using culture affecting that process.
Some studies signaled culture as the intelligence of society and it was seen in the
capacity of individuals to use knowledge, skills and experience in solving problems
[23]. In other words, culture aided understanding what and why people are doing
something, in this case, the motivations for sharing information as object-oriented
activity in a complex context such as incident management at major events. Continuing
with the functions of culture, its study could support the relevance in those contexts in
which diverse individuals and organizations converge. To do so, diverse models can be
used. They include normative, descriptive and computational decision-making
approaches. This similarly permitted to explore the diverse individual styles of
decision-making processes. Here, the rational, intuitive, dependent, avoidant and
spontaneous styles were usually employed in showing the behavior of the decision
makers. These styles exerted a great influence on cross-cultural decisions.
3 Methodology
In order to explorer the cross-cultural differences and decisions, Activity Theory was
chosen as a conceptual framework and as an analytical tool to expose information
sharing as a motivated activity. This tradition captures both the cognitive and the social
constructionist approaches and suggests that individual lives in a world subjectively
constructed, which implicitly signifies knowledge. Moreover, this theory permits to
understand the consciousness of individuals as a product of their interactions with
others and tools in the context which uses the activity [24], particularly information
sharing. Additionally, it proposes that reality and activity are united and activity is
object oriented, but not separated from reality of individuals, which could be explained
in cultural and social properties. It is because humans are shaped by culture in a broad
sense. As unity of analysis, information sharing should be expanded at individual and
collective levels. Here, activity is composed of activities, actions and operations ori-
ented towards the achievement of objects, goals and conditions respectively [25]. In
this case, information sharing was aimed at creating and maintaining a shared
awareness in incident management at major events.
The analysis was done recognizing that there is a collective, artifact-mediated and
object oriented activity system [26]. Furthermore, there is a muti-voicedness system,
which is a product of accumulated transformations over time. Besides, these trans-
formations were a product of changes and developments in the system caused by
tensions and contradictions that consequently generated a long series of qualitative
alterations. Referring to the tensions and contradictions, they are accumulating struc-
tural tensions within activity systems and between others resulting in innovation. These
could be found within each component of the system, between components of the
system, between the objects/motives of the activity system and a more advanced
activity system, and between the central activity in study and its neighbor activities. In
a few words, this framework gives the chance to study information sharing in a natural
context such as incident management at major events examining the historical and
cultural issues at individual and social levels. In addition, it permits to examine the
purposes of individuals, associations between individuals, cultural and historical
developments of information sharing, among other aspects. It also helps in under-
standing the context as an integrated whole incorporating subject(s), object(s), tools
and artifacts, communities, rules and norms, and division of labor of the activity
system. The relationships between individuals, the object and the mediation of com-
ponents of the activity system are allowed by the use of Activity Theory as an ana-
lytical tool at individual and collective levels. Its deconstruction gave advantages in
gaining insights in how motivations for sharing information incorporate cross-cultural
decisions in incident management at major events, specifically with their issues. All
that was mentioned would be recognized as the issues used to understand the activity in
study. It was also possible to frame temporary sequences of that activity. The structure
of the activity system is presented in the Fig. 1.
Fig. 1. The structure of a human activity system (adapted from Engestrom [27])
Taking this as background, an interpretive approach was chosen as feasible one to

find the mentioned cultural residues. The idea is to gain in-depth understanding of the
matter of study in the naturalistic context. Moreover, it adopted the use of multiple
methods to capture information that is little known [28]. In this respect, case study can
be seen as a feasible approach because the study was focused in a naturalistic context
and this enables understanding the nature of information sharing in context giving
advantages over other approaches. To do so, three methods were employed to gather
data including observations of the current routine practices at major events, interview
with the individuals serving as incident responders and review or organizational
information. Two concerts and 19 baseball matches served to do the fieldwork, which
took place in three cities located in the northwest of Mexico. The concerts were carried
out at Tijuana city, and the baseball matches at Guasave and Los Mochis cities. Overall
in the fieldwork, diverse data was gathered as presented in the Table 1.
Table 1. Data gathered in the fieldwork

Observation Interviews Revision of Participant
Hrs. spent Incidents Written Verbal Incidents organisational organisations
observed consent consent reported documentation
Concerts 15 (two 2 34 2 98 54 7
concerts)
Baseball 36 1/3 17 5 - 8 44 3
matches (eight games)
- Stadium
One
- Stadium 47 1/2 37 7 7 22 49 3
Two (11 games)
Total 98 5/6 56 46 9 118 147 13
22 33
Tactical Operational
The observations were done during the major events accumulating 98 5/6 h in which
56 incidents were observed. 55 interviews were done and the Critical Incident Technique
[29] and its variant were used to develop them. Participants came from 13 organizations
performing roles at operational and tactical levels and all gave verbal and/or written consent
following ethical guidelines for being interviewed. The organizations were categorized
according to their role in incident management as regulators (organizers, Civil Protection
areas, security coordinators), safety responders (firemen), security responders (Police),
safety supporters (Red Cross and voluntary groups), and security supporters (guards). It is
important to mention that some incident responders were hired to perform their role, but
others not. For instance, the Red Cross and voluntary groups were these. On the other hand,
the security responders can arrest people, but the guards not. This was a limitation
managing the incidents. In addition, from here onwards, the individuals were named
incident responders without distinction of the organization role during the incidents.
147 documents were gathered including local and federal governmental legislations
directly and indirectly related to the major events. All data were transcribed verbatim
and an open, axial and selective coding approach was used to analyze data until
categories were saturated or analysis revealed the same information about motivations
for sharing information. There was a particular emphasis on finding the issues of the
cross-cultural cultural decisions made by incident responders included into the moti-
vations mentioned. Diverse themes and activity elements were recognized and utilized
to uncover links in the light of the contextual features to make sense of the relationships
between them, discovering diverse motivations for sharing information. They also
opened a discussion about the residues of the connected cross-cultural decisions putting
specific attention on those, which affect directly or indirectly incident management.
Similarly, the activity system was revealed in order to facilitate the analysis.
4 Results
Three motivations for sharing information were discovered in the context of incident
management at major events. Each of them presents some cultural aspects of the
organizations participating as incident responders. In Fig. 2 the information sharing
activity system is presented.
Fig. 2. The information sharing activity system

4.1 Situational Directive

This motivation is concerned with being the situational leader in incident management,
which should principally take control of the incidents. To do so, individuals use
effectively the action giving orders to recognize the responsibility they had managing
the incident. It was because some incident responders expected that organizational
leaders gave instructions on how incidents would be managed, but they passed their
responsibilities to others who sometimes were untrained. So, experienced responders
became situational leaders (Safety responder).
In addition, situational leaders in order to manage the incidents should develop the
skills and abilities to share information with diverse sources, including those individ-
uals managing the incidents and those backing their actions. They usually employed
the action updating. It was seen when individuals in charge should solicit a detailed
report of what was going in order to define courses of action and solicit additional
support from others (Safety supporter).
Moreover, first responders initially converted to situational leaders and they should
control the incidents and the information generated. A detailed report of what had
happened and their assessments were provided. This exploited the action controlling
information in order to consequently manage the incident. It was seen when incident
responders arrived and at the same time, controlled the incident and passed all
information originated from the incident. At that time, the incident was controlled
according to the existing regulations (Regulator).
4.2 Surface Credibility

The current motivation is related to the trust conferred by individuals wearing specific
uniforms. It is individuals trusted on the basis of the credibility of certain meanings and
organizations assigned to uniforms worn by incident responders performing determined
roles. For instance, they used the action ask for support of those who had similar role in
incident management. It was seen when they walked and we can easily discovered into
the crowd, their shirts distinguished them. During incidents we can request help from
them and respond accordingly to our demand (Safety supporter).
Moreover, some responders used the action giving orders in order to perform their
role based on the uniform they wore. For example on one occasion a responder
signaled that during a tremor, a spectator tried to run and a security supporter shouted
him: stop. He saw him and stopped seeing me using uniform. He asked why I am calm
in these kinds of situations and I responded that I have learned to be clam in stressful
situations. It was part of my training as responder (Security supporter).
Furthermore, it was useful that responders wore uniforms. Responders were
identified for that reason and this implied organizational boundaries in relation to their
role. A responder commented that it was usual to use the action controlling informa-
tion. For example, if a stay in front a Police officer, she or he request help with a
problematic situation. Other wise, the officer cannot request our help, but he or she
could ask for help to others. It depended of the kind of incident (Safety supporter).
4.3 Normative Altruism

This motivation is about the counterintuitive position on altruism and was found in the
origins of ethical altruism showed by directives of regulators and safety responders.
They used principally information sharing to control and coordinate voluntary groups
(safety supporters) because these organizations abandoned information sharing
focusing their efforts on the well-being of casualties. These generated tensions between
organizations. Regulators used the action updating to coordinate the tasks in incident
management. A member said that voluntary groups should notify to the leaders that
they will approach to the incident and subsequently they did not alert to another
group. However, they approached but did not communicate this to the leaders. Con-
sequently, leaders started to share information with them in order to control and
coordinate the efforts of the organizations participating (safety responder).
In addition, the action information seeking was employed by diverse incident
responders to be notified of what was going on in the incident. This permitted to try to
control and coordinate the participant organizations. However, a responder said that it
was usual the fever of services as a common practice by voluntary groups. This means
that these groups listened in the radio that an incident was in course and they speedily
approached to it and started to manage and forgot to notify to the leaders. So, they
begun to seek information about it in order to size the incident and create better
conditions in the incident management (safety responder).
Besides, a recurrent action that responders use was checking information in order to
control the safety supporters. This was principally used when supporters managed
incidents and exposed the necessity to be informed of what was going on. An indi-
vidual commented that if a group of safety responders was dispatched to the incident,
the leaders did not dispatch another until that group shared information respect to the
incident. Leaders pondered that information and commenced to be sure about each
detail of it, inferring that additional responders would be required (safety supporter).
5 Conclusions and Recommendations
The results revealed that information sharing was used to control and coordinate
effectively the individuals and organizations participating at major events. Its use
highlighted diverse peculiar characteristics in incident management. One was related of
being a situational leader. As was mentioned before, being leader implied responsi-
bilities that some responders could not fulfill. However, if responders take responsi-
bility, they should employ diverse actions such as giving orders, updating and
controlling information. It was suggested that this permitted to effectively improve the
incident management. Another characteristic was the use of uniform to trigger infor-
mation sharing. It was found that wearing uniform gave additional advantages to
responders for being involved in the information sharing process in context. Asking for
support, giving orders and controlling information were three useful actions employed
for sharing information. Finally, a counterintuitive position within ethical issues was a
trigger found for sharing information. The use of the actions updating, information
seeking and checking information highlighted a way to control and coordinate the
efforts of the voluntary groups serving as safety supporters.
Moreover, the mentioned characteristics helped to discover how the motivations for
sharing information exhibit residues of cross-cultural differences and decisions in
context. For instance, being situational leader in incident management exposed cog-
nitive and collective decisions within problematic situations. This recognizes the rel-
evance of information sharing as a crucial component in context. Particularly,
responders understood that information sharing could make the difference in managing
incidents effectively. From this, it was important to be clear about the role of indi-
viduals and their organizations. Similarly, individuals using uniforms could have
advantages over those that did not wear them in terms of influencing the form in which
incidents could be managed. Being visible through their clothes, they could be seen as
having accumulated knowledge, skills and experience on managing incidents. This was
exhibited when individuals paid attention to individuals with uniforms. In the same
way, using a counterintuitive position on using information sharing to collect infor-
mation from safety responders, this could be seen as a form of inappropriate habits of
responders. The lack of information sharing could be seen as a fragmented culture and
the same time, with high levels of solidarity that both disturbed information sharing.
Furthermore, the motivations for sharing information disclosed diverse decision-
making styles. These impacted on how responders utilized their actions and similarly
revealed issues of individual and collective decisions made during the incidents. Being
situational leader revealed the use of information sharing to control incidents so that
these styles should be correlated with actions. Giving orders, updating and controlling
information would be seen as actions of the same decision-making process in context.
For example, giving orders implied a cognitive decision that had an impact in a
collective environment. In addition, it contained accumulated issues that could be
found in different documents related to incident management. Its employment was a
result of innovation processes in order to manage effectively the incidents.
Finally, the situational directive, surface credibility and normative altruism as
motivations for sharing information revealed characteristics of decision-making pro-
cesses that could be explained in detail by the tested models. For example, here
normative and descriptive models can aid with measurements of the motivations and
their components. To do so, consideration of the uses of the actions would potentially
be the approach to how the models should be put to work in order to find new ways of
understanding the cross-cultural differences using information sharing as the basis of
control and collaboration in incident management at major events.
Acknowledgements. We would like to acknowledge to the Tecnológico Nacional de

México/Instituto Tecnológico de Tijuana, the University of Leeds, and the 1Spatial/ESRC
through the Dorothy Hodgkin Postgraduate Award for partially funding this study. We would
also like to thank to the participant organizations for contributing with the study. The interpre-
tations and views in this paper, nevertheless, are solely those of the authors.
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Author Index
A Choi, Young Mi, 15

Ahmad, Aftab, 480 Contreras-Estrada, Mónica I., 266
Ahuja, Mohit, 228 Contreras-Valenzuela, Martha Roselia, 286
Akpınarlı, Hatice Feriha, 102 Costa, Susana, 536
Allen, David K., 649 Cuesta, Alicia Piedrabuena, 27
Almenara, Mercedes Sanchís, 27 Cybal-Michalska, Agnieszka, 621
Anku-Tsede, Olivia, 491
Ardiyanto, Ardiyanto, 369 D
Arnau, Sonia Serna, 27 Dávila, Pablo, 236, 294
Arslan, Pınar, 102 De Bruyne, Guido, 323
de Graaf, Sarah, 323
B de Paula Xavier, Antônio Augusto, 245
Bagane, Sagar, 228 Di Muzio, Valeria, 430
Bagheri, Z. S., 279 Di Palma, Pasquale, 379
Ballesteros, Fanny, 236, 294 Di Stasi, Stephanie, 369
Bauwens, Merlin, 323 Dias, Natália Fonseca, 461
Beltran, J., 279 Dogbe-Zungbey, Ophelia, 393
Bernarda, João, 126 Doi, Toshihisa, 609
Bonsu, Noble Osei, 393 dos Reis, Diogo Cunha, 461
Buchweitz, Lea, 3 Draicchio, Francesco, 379, 430, 443
Burch, Reuben F., 332 Drzewiecka-Dahlke, Milena, 173
Butlewski, Marcin, 49 Du, Jiali, 578
Dutta, T., 279
C
Camocho, David, 114 E
Carrera, Esteban, 236, 294 Ebara, Takeshi, 511
Castellano, Simona, 443 Egawa, Jun, 358
Chander, Harish, 332
Chao, Shu-Min, 473 F
Chen, Baocui, 598 Ferreira, Ana Margarida, 37, 80, 90, 102, 114,
Chen, Chien-Hsu, 141 135
Chen, Xuebo, 598 Ferreiral, Ana Margarida, 126
Chini, Giorgia, 430 Fiori, Lorenzo, 379, 443
Chiu, Yi-Chen, 473 Franceschi, Roberta Barban, 90

https://doi.org/10.1007/978-3-030-20145-6
664 Author Index
G Lo, Ei-wen, 302

Giliberti, Claudia, 217 Lo, Ei-Wen, 473
González-Baltazar, Raquel, 266 Longo, Lucia, 217
Górny, Adam, 184 Loo, Fung-Chiat, 353
Gouveia, Ruben, 3 Lu, Xiaodan, 345
Lucertini, Elena, 430
H Lucertini, Marco, 430
Hamada, Hiroyuki, 345
Hamedon, Titi Rahmawati, 353 M
Harih, Gregor, 57 Ma, Liang, 642
Hayashi, Hidenori, 424 Mariconte, Raffaele, 217
Heimburger, Louisa, 3 Marín, Carlos, 415
Hernández-Escobedo, Guadalupe, 649 Matsumoto, Isao, 345
Hidalgo-González, Brenda J., 266 Matsuura, Fuminori, 345
Hidalgo-Santacruz, Gustavo, 266 Mhamunkar, Mayur, 228
Hirano, Yoshinori, 345 Michaloski, Ariel Orlei, 245
Ho, Meng-Chuan, 302 Mizuno, Motoki, 358, 424
Hochi, Yasuyuki, 358, 424 Mizuno, Yuki, 424
Holyoke, P., 279 Montoya, Franchesca, 528
Hua, Li-xia, 630 Moreno, Carlos Chirivella, 27
Hussain, Amjad, 480 Moro, Antônio Renato Pereira, 461
Hutchinson, K., 279 Morrissey, Lucinda, 90
Mufti, Nadeem Ahmad, 480
I Mughal, Mohammad Pervez, 480
Iavicoli, Sergio, 379 Mukunthan, Shriram, 323
Inaba, Kentaro, 358 Munafò, Elio, 379
Ituarte-González, Claudia Alejandra, 649 Murata, Atsuo, 561, 609
Iwaasa, Takumi, 358, 424 Murphy, Fredrick, 332
J
Jara, Oswaldo, 236, 294 N
Jongprasithporn, Manutchanok, 403 Neto, Rui Costa, 126
Nolasco, Ana, 69
K Nowicki, Tadeusz, 206
Kalkowska, Joanna, 165 Ntow, Michael Akomeah Ofori, 393
Kangisser, Steven J., 15
Kida, Noriyuki, 345 O
Kimura, Kana, 544 Okabe, Noriko, 587
Kolhe, Lokesh, 228 Okada, Aya, 424
Korn, Oliver, 3 Okada, Yusaku, 544, 549
Oluwafemi, Ifetayo, 309
L Oluwafemi, Jesusetemi, 309
Laseinde, Timothy, 309 Orlando, Maria Patrizia, 217
Lavender, Steven, 369 Osada, Yumie, 345
Leão, Celina P., 536
León-Cortés, Silvia G., 266 P
Li, Jing-ping, 630 Pacholski, Leszek, 165, 173
Li, Xinguang, 578 Pearman, Alan D., 649
Li, Yueqing, 228 Piñeros, Olga, 415
Ling, Chia-Ying, 353 Pinheiro, Cristina, 135
Liu, Qinyi, 642 Piroli, Anthony, 332
Liukitithara, Phairoj, 642 Poelman, Sarah, 519
Lo Castro, Fabio, 217 Poemoon, Supatra, 403
Author Index 665
Poni, Ida, 443 T

Pretorius, Jan-Harm, 309 Tajima, Chihiro, 572
Puente, Rakel Poveda, 27 Tatarelli, Antonella, 379, 443
Purswell, J. P., 519, 528 Tian, Wenmeng, 332
Tirloni, Adriana Seára, 461
R Togashi, Emiko, 358, 424
Ranavolo, Alberto, 379 Treralertpanith, Manutsamon, 403
Remesal, Alberto Ferreras, 27 Trujillo-Sandoval, Brenda, 286
Rossi, Patrizio, 443
Rozema, Lambert, 135
V
Vermeir, Alexandra, 323
S
Vicente, José, 114
Saengdaeng, Varisara, 403
Vitalone, Roberto, 430
Sakata, Naoko, 549
Vujica-Herzog, Nataša, 57
Saleem, Muhammad Qaiser, 480
Sánchez, Consuelo Latorre, 27
Savva, Stefania, 37, 80 W
Shiraishi, Risako, 549 Walczak, Andrzej, 206
Siemieniak, Katarzyna, 155 Waszkowski, Robert, 206
Siemieniak, Maciej, 155 Wu, Zhenbin, 598
Siemieniak, Paulina, 195
Silva, Carlos Santos, 126
Silva, Hebert, 256 Y
Silvetti, Alessio, 379, 430, 443 Yamada, Yasuyuki, 424, 511
Singh, Vikrant, 228 Yamazaki, Haruna, 544
Smallwood, John, 503 Yang, Jian-ping, 630
Sokro, Evans, 393 Ye, Jun-nan, 630
Sole, G., 279 Yodpijit, Nantakrit, 403
Sommerich, Carolyn, 369 Yu, Pingfang, 578
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Stradioto, Juliano Prado, 245
Strawderman, Lesley, 332 Z
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Advances in Social and Occupational Ergonomics 2020

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Advances in Intelligent Systems and Computing 970

** Indexing: The books of this series are submitted to ISI Proceedings,

More information about this series at http://www.springer.com/series/11156

ISSN 2194-5357 ISSN 2194-5365 (electronic)

AHFE 2019 Series Editors

Proceedings of the AHFE 2019 International Conference on Social and

Advances in Affective and Pleasurable Design Shuichi Fukuda

This book provides an exploration on how ergonomics can contribute to the

Section 1 The Present and Future of Macroergonomic Systems

Jonathan Pfautz, USA

July 2019 Richard H. M. Goossens

The Present and Future of Macroergonomic Systems

Social Design, Innovation and Ergonomics

Threshold Concepts and Design for Social Change . . . . . . . . . . . . . . . . 80

Macroergonomic Systems Design and Improvement

Monitoring Personnel Presence and Displacement in Production

Evaluation, Optimization and Job Design

Social and Occupational Factors of Comfort, Risk Assessment

Comparisons of Three Observational Ergonomic Tools

Sports, Injury Prevention and Outdoor Recreation

Stress, Mental Factors and Musculoskeletal Disorders

Psychosocial Risk Management and Psychological Attachment:

Social and Occupational Ergonomics: Applications

Safety Training and Occupational Accidents

Cross-Cultural Decision Making

Cross-Cultural Analysis of Top Page Design Among Brazilian,

Louisa Heimburger, Lea Buchweitz, Ruben Gouveia,

Offenburg University Affective & Cognitive Institute (ACI),

Abstract. New employees are supposed to quickly understand their tasks,

Keywords: Onboarding Gamiﬁcation Human resource management

© Springer Nature Switzerland AG 2020

2 State of the Art

2.1 Gamiﬁcation in Work Contexts

2.2 Gamiﬁcation in Human Resources (HR)

2.3 “Big Five” Personality Traits

In order to determine the effects of gamiﬁed onboarding applications on the integration

QR-Hunting: The QR-Hunting feature is about ﬁnding a speciﬁc destination in a

Fig. 2. Onboarding-Tree: visualization of the own progress.

Company-Whisper: Based on Jodel, a social media application mainly used among

Table 2. Summary of implemented game-design elements [10]:

5.1 The Rating Statements

Un-gamified app Gamified app

5.2 The “Big Five” Personality Test

5.3 Qualitative Findings

Steven J. Kangisser(&) and Young Mi Choi

Georgia Institute of Technology, Atlanta, GA 30332, USA

Abstract. The construction industry has long experienced a shortage of skilled

Keywords: Aging Cognitive Construction Ergonomics Human factors

© Springer Nature Switzerland AG 2020

2 Craft Labor Shortage

The building construction industry requires an enormous workforce, employing over

Fig. 1. Unemployment construction industry, 2008–2018

Fig. 2. Job openings, 2008–2018

Fig. 3. Earnings per hour, 2008–2018: construction industry sector

Fig. 4. Construction age distribution relative to all occupations

Fig. 5. Median age by craft position

4 Why Workers Leave

Relative to other industries, building construction is slow to adopt new technologies.

Fig. 6. Routine physical stress (from us-ergo)

In a German study of older workers, construction workers between the ages of 40

5 Needs of Older Construction Workers

6 Human Factors and Ergonomics

By considering human factors engineering and ergonomics it is possible to accom-

In order to better accommodate older workers in the construction industry, better